SEC Rule 606 Report - LPL Financial - 3rd 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 38.53 5.98 55.50
Citadel Securities 23.63 24.78 16.72 23.57
G1 Execution Services 20.71 19.65 13.48 22.23
KCG Americas LLC 19.76 20.21 20.65 19.35
UBS Securities LLC 15.25 17.42 10.79 14.22
Auto Trading Desk Fin Svc 12.67 13.41 9.74 12.48
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 36.57 5.77 57.66
G1 Execution Services 21.93 24.05 25.09 20.28
KCG Americas LLC 20.33 23.01 18.90 18.77
Citadel Securities 18.77 14.80 13.99 21.76
Auto Trading Desk Fin Svc 14.82 14.29 11.32 15.51
Cantor Fitzgerald&Co 12.01 13.32 9.81 11.40
UBS Securities LLC 5.47 5.64 3.83 5.53
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 43.02 4.66 52.32
Cantor Fitzgerald&Co 28.26 31.56 24.04 25.92
KCG Americas LLC 27.65 31.00 19.04 25.67
Citadel Securities 18.78 16.89 18.17 20.39
Auto Trading Desk Fin Svc 12.95 12.88 12.83 13.02
G1 Execution Services 6.65 6.20 2.35 7.40
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 34.26 62.71 3.02
Citadel Execution Service 49.71 46.39 52.81 23.05
Knight Options 17.73 22.73 13.76 43.24
Interactive Brokers LLC 12.52 16.52 9.67 26.56
Citigroup Global Markets 12.25 13.73 11.71 6.55
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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