SEC Rule 606 Report - LPL Financial - 4th 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 41 7 53
Credit Suisse 21.02 22.00 15.67 20.92
Citadel Securities 20.79 20.24 14.75 21.98
KCG Americas LLC 18.03 17.81 17.30 18.30
Auto Trading Desk Fin Svc 12.74 14.92 12.57 11.06
UBS Securities LLC 11.34 13.17 10.46 10.03
G1 Execution Services 9.24 8.41 6.00 10.29
100.00% of total customer orders were non-directed orders.

Securities Listed on The Nasdaq Stock Market
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 40 7 54
KCG Americas LLC 22.39 25.53 25.61 19.65
Citadel Securities 21.80 18.15 17.63 25.03
G1 Execution Services 18.58 20.52 19.90 16.98
Auto Trading Desk Fin Svc 14.09 14.45 10.83 14.24
Credit Suisse 7.81 7.84 5.21 8.10
Cantor Fitzgerald&Co 5.78 6.32 3.19 5.70
UBS Securities LLC 5.62 6.50 4.96 5.06
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 44 6 50
Auto Trading Desk Fin Svc 38.63 44.99 28.60 34.16
Citadel Securities 37.67 35.34 37.11 39.77
KCG Americas LLC 9.23 9.64 10.15 8.76
Cantor Fitzgerald&Co 5.19 5.18 4.10 5.31
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 38 60 2
Citigroup Global Markets 54.63 49.31 57.88 56.90
Knight Options 18.08 25.28 13.42 21.40
Interactive Brokers LLC 12.66 16.48 10.40 8.95
Citadel Execution Service 8.40 7.82 8.63 11.84
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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