SEC Rule 606 Report
- LPL Financial - 2nd 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 |
37.96 |
5.92 |
56.12 |
| Citadel Securities |
25.08 |
24.43 |
15.47 |
26.53 |
| G1 Execution Services |
22.15 |
21.10 |
17.11 |
23.39 |
| VIRTU Americas LLC |
21.49 |
23.07 |
23.35 |
20.22 |
| UBS Securities LLC |
17.48 |
19.65 |
12.10 |
16.58 |
| Citi Order Routing & Exec LLC |
5.96 |
6.51 |
4.42 |
5.76 |
| Cantor Fitzgerald&Co |
3.12 |
3.27 |
3.63 |
2.96 |
| OTC |
2.02 |
0.00 |
21.68 |
1.32 |
| Two Sigma Securities, LLC |
2.02 |
1.60 |
1.50 |
2.35 |
| VISN |
0.25 |
0.36 |
0.11 |
0.18 |
| ASG |
0.22 |
0.00 |
0.00 |
0.39 |
| Princeton Securities |
0.10 |
0.00 |
0.00 |
0.18 |
| SOOT |
0.08 |
0.00 |
0.62 |
0.07 |
| Mark J. Muller Equites |
0.02 |
0.00 |
0.00 |
0.04 |
| EXC |
0.01 |
0.00 |
0.00 |
0.01 |
| LEK Securities |
0.01 |
0.00 |
0.00 |
0.01 |
| Citadel Execution Service |
0.00 |
0.00 |
0.00 |
0.00 |
| Global Direct Equities |
0.00 |
0.00 |
0.00 |
0.00 |
| OCD |
0.00 |
0.00 |
0.00 |
0.00 |
| CDEL |
0.00 |
0.00 |
0.00 |
0.00 |
| DRST |
0.00 |
0.00 |
0.00 |
0.00 |
| VIRTU Americas LLC |
0.00 |
0.00 |
0.00 |
0.00 |
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 |
37.70 |
5.44 |
56.86 |
| G1 Execution Services |
26.36 |
29.65 |
28.12 |
24.02 |
| VIRTU Americas LLC |
20.00 |
22.50 |
20.21 |
18.32 |
| Citadel Securities |
19.55 |
15.19 |
15.09 |
22.87 |
| Cantor Fitzgerald&Co |
11.87 |
12.34 |
6.89 |
12.04 |
| Two Sigma Securities, LLC |
7.45 |
6.81 |
5.14 |
8.10 |
| Citi Order Routing & Exec LLC |
6.58 |
6.61 |
5.82 |
6.63 |
| UBS Securities LLC |
5.57 |
5.96 |
4.57 |
5.41 |
| OTC |
1.26 |
0.00 |
12.95 |
0.97 |
| VISN |
1.06 |
0.93 |
0.54 |
1.19 |
| ASG |
0.13 |
0.00 |
0.00 |
0.24 |
| SOOT |
0.07 |
0.00 |
0.65 |
0.06 |
| Princeton Securities |
0.05 |
0.00 |
0.00 |
0.08 |
| JSEB |
0.03 |
0.00 |
0.00 |
0.05 |
| EXC |
0.01 |
0.00 |
0.00 |
0.01 |
| Citadel Execution Service |
0.01 |
0.00 |
0.00 |
0.01 |
| Goldman Sachs Exec&Clear |
0.00 |
0.00 |
0.00 |
0.00 |
| CDEL |
0.00 |
0.00 |
0.00 |
0.00 |
| GLDM |
0.00 |
0.00 |
0.00 |
0.00 |
| OCD |
0.00 |
0.00 |
0.01 |
0.00 |
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 |
47.10 |
3.59 |
49.30 |
| G1 Execution Services |
32.06 |
33.86 |
21.13 |
31.12 |
| Cantor Fitzgerald&Co |
29.32 |
30.03 |
24.51 |
29.00 |
| Citadel Securities |
19.68 |
17.72 |
13.55 |
21.99 |
| VIRTU Americas LLC |
12.31 |
13.52 |
14.91 |
10.97 |
| Citi Order Routing & Exec LLC |
4.64 |
4.47 |
3.70 |
4.88 |
| OTC |
1.20 |
0.00 |
20.90 |
0.91 |
| UBS Securities LLC |
0.41 |
0.40 |
0.95 |
0.37 |
| JSEB |
0.25 |
0.00 |
0.00 |
0.50 |
| SG Americas Sec |
0.05 |
0.00 |
0.00 |
0.10 |
| ASG |
0.04 |
0.00 |
0.00 |
0.09 |
| SOOT |
0.02 |
0.00 |
0.33 |
0.01 |
| Princeton Securities |
0.01 |
0.00 |
0.00 |
0.03 |
| Two Sigma Securities, LLC |
0.01 |
0.01 |
0.02 |
0.01 |
| EXC |
0.00 |
0.00 |
0.00 |
0.00 |
| OEXC |
0.00 |
0.00 |
0.01 |
0.00 |
| Citadel Execution Service |
0.00 |
0.00 |
0.00 |
0.00 |
| OCD |
0.00 |
0.00 |
0.00 |
0.00 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
32.65 |
64.98 |
2.37 |
| Citadel Execution Service |
55.89 |
65.48 |
50.52 |
71.07 |
| Citigroup Global Markets |
15.48 |
19.48 |
13.62 |
11.28 |
| Interactive Brokers LLC |
10.55 |
12.03 |
9.67 |
14.09 |
| Chicago Board OptionsExch |
3.25 |
0.00 |
5.00 |
0.00 |
| Philadelphia Option Exch |
3.14 |
0.00 |
4.84 |
0.00 |
| Internat'l Secs Exch |
2.87 |
0.00 |
4.41 |
0.00 |
| MIAX Options Exchange |
2.78 |
0.01 |
4.27 |
0.00 |
| Susquehanna Investment Gr |
1.28 |
1.38 |
1.24 |
0.89 |
| Citadel Securities LLC |
1.15 |
1.31 |
1.02 |
2.37 |
| Boston Options Exchange |
1.13 |
0.00 |
1.74 |
0.00 |
| BATS Stock Exchange |
0.69 |
0.00 |
1.05 |
0.00 |
| GMNI |
0.58 |
0.00 |
0.90 |
0.00 |
| Nasdaq OMX BX Options |
0.46 |
0.00 |
0.70 |
0.00 |
| Citigroup Global Markets |
0.23 |
0.30 |
0.20 |
0.30 |
| NYSE MKT |
0.18 |
0.00 |
0.28 |
0.00 |
| C2OX |
0.11 |
0.00 |
0.17 |
0.00 |
| Nasdaq Execution Services |
0.11 |
0.00 |
0.17 |
0.00 |
| NYSE Arca |
0.05 |
0.00 |
0.07 |
0.00 |
| MCRY |
0.05 |
0.00 |
0.07 |
0.00 |
| AMXO |
0.02 |
0.01 |
0.03 |
0.00 |
| SOOT |
0.01 |
0.00 |
0.02 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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