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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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 VenuesHow to read this report
© Copyright 1 CoreOne Technologies.
All Rights Reserved.