SEC Rule 606 Report - LPL Financial - 1st Qtr, 2015

(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 100.00 39.85 6.08 54.07
Citadel Securities 23.17 22.73 16.09 24.30
KCG Americas LLC 18.51 17.63 18.37 19.17
G1 Execution Services 18.11 18.39 15.22 18.23
UBS Securities LLC 13.66 15.90 10.10 12.42
Auto Trading Desk Fin Svc 12.71 14.22 10.31 11.87
100.00% of total customer orders were non-directed orders.

Securities Listed on The Nasdaq Stock Market
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 38.79 5.84 55.36
KCG Americas LLC 21.25 22.21 24.39 20.25
G1 Execution Services 20.61 23.13 24.47 18.43
Citadel Securities 18.79 16.96 13.27 20.65
Auto Trading Desk Fin Svc 13.52 12.73 9.86 14.46
Cantor Fitzgerald&Co 11.67 13.93 8.19 10.46
UBS Securities LLC 5.72 5.96 4.72 5.66
100.00% of total customer orders were non-directed orders.

Securities Listed on NYSE Amex or Regional Exchanges
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 43.56 4.15 52.29
Citadel Securities 30.32 30.12 26.28 30.81
Auto Trading Desk Fin Svc 23.90 26.76 19.40 21.87
Cantor Fitzgerald&Co 23.86 27.71 13.93 21.43
KCG Americas LLC 11.32 11.26 10.93 11.41
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 37.41 60.60 1.99
Citigroup Global Markets 32.47 31.35 33.20 31.58
Knight Options 32.32 34.78 30.80 32.26
Interactive Brokers LLC 15.21 18.91 12.68 22.92
Citadel Execution Service 8.30 9.64 7.41 10.02
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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