SEC Rule 606 Report - LPL Financial - 1st Qtr, 2016

(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 38.45 5.67 55.89
TRI 28.70 28.73 26.31 28.92
Citadel Securities 24.52 24.95 19.20 24.77
UBS Securities LLC 16.95 19.61 12.34 15.59
G1 Execution Services 12.67 11.51 8.74 13.86
Auto Trading Desk Fin Svc 9.62 10.23 6.40 9.53
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 35.15 5.41 59.45
G1 Execution Services 22.70 24.82 25.59 21.18
KCG Americas LLC 21.73 24.32 19.23 20.43
Citadel Securities 21.45 17.04 17.62 24.41
Cantor Fitzgerald&Co 11.38 12.42 7.50 11.11
Auto Trading Desk Fin Svc 10.51 10.79 7.52 10.61
UBS Securities LLC 5.66 5.95 3.86 5.65
100.00% of total customer orders were non-directed orders.

Securities Listed on NYSE MKT or other National Securities Exchange
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 47.90 4.44 47.66
Cantor Fitzgerald&Co 31.80 33.85 22.16 30.64
Citadel Securities 18.91 16.80 17.21 21.19
TRI 18.66 20.45 14.04 17.29
G1 Execution Services 16.57 18.29 14.98 14.98
Auto Trading Desk Fin Svc 8.86 8.72 6.65 9.21
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 32.15 65.65 2.20
ATDO 36.64 38.80 35.47 39.85
Citadel Execution Service 32.98 40.63 28.81 45.61
Interactive Brokers LLC 10.02 12.62 8.77 9.55
Knight Options 3.41 4.67 2.78 3.94
Internat'l Secs Exch 2.96 0.00 4.50 0.00
ATM 2.55 0.00 3.89 0.00
Boston Options Exchange 2.47 0.01 3.76 0.00
Chicago Board OptionsExch 2.34 0.00 3.56 0.00
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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