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