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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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 VenuesHow to read this report
© Copyright 2016 CoreOne Technologies.
All Rights Reserved.