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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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 VenuesHow to read this report
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