SEC Rule 606 Report
- LPL Financial - 2nd 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 |
38.06 |
5.49 |
56.46 |
Citadel Securities |
21.97 |
21.61 |
13.88 |
22.99 |
G1 Execution Services |
21.24 |
20.90 |
17.06 |
21.88 |
KCG Americas LLC |
21.04 |
21.47 |
21.65 |
20.69 |
UBS Securities LLC |
15.08 |
16.91 |
10.34 |
14.30 |
Auto Trading Desk Fin Svc |
13.20 |
14.54 |
10.15 |
12.59 |
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 |
37.77 |
5.78 |
56.45 |
G1 Execution Services |
23.30 |
25.34 |
29.63 |
21.29 |
KCG Americas LLC |
23.07 |
26.50 |
23.70 |
20.70 |
Citadel Securities |
15.60 |
12.34 |
10.30 |
18.33 |
Auto Trading Desk Fin Svc |
13.20 |
12.35 |
9.64 |
14.14 |
Cantor Fitzgerald&Co |
11.04 |
12.54 |
5.79 |
10.58 |
UBS Securities LLC |
6.38 |
6.62 |
6.09 |
6.26 |
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 |
41.52 |
4.17 |
54.31 |
KCG Americas LLC |
27.24 |
32.44 |
21.80 |
23.69 |
Cantor Fitzgerald&Co |
25.54 |
28.80 |
26.73 |
22.95 |
Citadel Securities |
20.10 |
17.95 |
18.54 |
21.87 |
Auto Trading Desk Fin Svc |
13.20 |
12.77 |
12.99 |
13.54 |
G1 Execution Services |
6.70 |
6.61 |
3.15 |
7.03 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
37.11 |
61.05 |
1.84 |
ATDO |
41.44 |
39.21 |
42.99 |
35.06 |
Citadel Execution Service |
20.87 |
20.19 |
21.02 |
29.62 |
Knight Options |
16.71 |
21.21 |
13.74 |
24.18 |
Interactive Brokers LLC |
14.81 |
18.64 |
12.62 |
10.51 |
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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