SEC Rule 606 Report
- LPL Financial - 4th 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 |
5.41 |
56.53 |
Citadel Securities |
23.86 |
23.46 |
14.04 |
25.06 |
G1 Execution Services |
20.23 |
18.70 |
15.25 |
21.73 |
TRI |
19.30 |
20.42 |
18.30 |
18.63 |
UBS Securities LLC |
16.11 |
18.75 |
10.87 |
14.82 |
Auto Trading Desk Fin Svc |
12.50 |
13.29 |
10.23 |
12.19 |
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 |
35.69 |
5.55 |
58.76 |
G1 Execution Services |
21.95 |
23.99 |
23.62 |
20.55 |
KCG Americas LLC |
21.59 |
24.30 |
20.86 |
20.02 |
Citadel Securities |
19.81 |
15.88 |
19.74 |
22.20 |
Auto Trading Desk Fin Svc |
12.21 |
11.93 |
8.45 |
12.73 |
Cantor Fitzgerald&Co |
11.89 |
13.02 |
6.43 |
11.72 |
UBS Securities LLC |
6.26 |
6.40 |
5.34 |
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 |
45.95 |
4.19 |
49.86 |
Cantor Fitzgerald&Co |
31.93 |
35.13 |
29.45 |
29.20 |
TRI |
20.76 |
23.01 |
16.28 |
19.07 |
Citadel Securities |
19.76 |
17.69 |
15.49 |
22.02 |
Auto Trading Desk Fin Svc |
12.59 |
12.39 |
10.03 |
13.00 |
G1 Execution Services |
9.00 |
8.99 |
6.86 |
9.19 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
34.31 |
63.42 |
2.28 |
Citadel Execution Service |
38.50 |
35.26 |
40.22 |
39.71 |
ATDO |
25.57 |
29.17 |
23.78 |
21.31 |
Knight Options |
19.90 |
24.81 |
17.22 |
20.77 |
Interactive Brokers LLC |
7.66 |
9.74 |
6.18 |
17.67 |
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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