SEC Rule 606 Report - LPL Financial - 3rd Qtr, 2014

(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)


Securities Listed on New York Stock Exchange Euronext
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 38 8 54
Citadel Securities 18.99 17.99 10.78 20.82
KCG Americas LLC 18.82 18.84 20.56 18.56
G1 Execution Services 15.30 15.71 10.15 15.72
Credit Suisse 15.19 15.86 11.58 15.23
Auto Trading Desk Fin Svc 13.81 14.95 16.47 12.66
UBS Securities LLC 11.45 13.67 10.97 9.98
100.00% of total customer orders were non-directed orders.

Securities Listed on The Nasdaq Stock Market
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 41 7 53
Citadel Securities 22.19 18.85 14.29 25.77
KCG Americas LLC 21.54 24.42 25.70 18.79
G1 Execution Services 20.58 23.11 23.36 18.27
Auto Trading Desk Fin Svc 13.61 12.91 10.51 14.55
Credit Suisse 8.46 8.27 5.87 8.93
UBS Securities LLC 6.40 6.91 5.76 6.09
100.00% of total customer orders were non-directed orders.

Securities Listed on NYSE Amex or Regional Exchanges
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 41 5 54
Citadel Securities 42.17 40.30 43.52 43.48
Auto Trading Desk Fin Svc 38.31 44.41 31.92 34.23
KCG Americas LLC 9.61 9.25 6.38 10.17
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 43 55 2
Citigroup Global Markets 54.06 46.95 59.65 54.40
Knight Options 17.33 23.13 12.69 18.84
Interactive Brokers LLC 16.75 21.39 13.23 13.56
Citadel Execution Service 7.83 7.92 7.65 10.39
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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