SEC Rule 606 Report
- LPL Financial - 3rd 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 |
36.62 |
5.71 |
57.67 |
| Citadel Securities |
25.75 |
25.88 |
16.81 |
26.55 |
| VIRTU Americas LLC |
23.20 |
24.48 |
24.41 |
22.26 |
| G1 Execution Services |
23.01 |
22.16 |
16.83 |
24.17 |
| UBS Securities LLC |
18.86 |
20.70 |
13.92 |
18.19 |
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 |
36.04 |
5.35 |
58.60 |
| G1 Execution Services |
28.67 |
32.63 |
29.24 |
26.19 |
| VIRTU Americas LLC |
21.04 |
23.67 |
22.29 |
19.31 |
| Citadel Securities |
19.21 |
15.68 |
11.33 |
22.10 |
| Two Sigma Securities, LLC |
11.28 |
10.11 |
6.17 |
12.47 |
| Cantor Fitzgerald&Co |
9.99 |
9.97 |
7.59 |
10.22 |
| UBS Securities LLC |
6.60 |
7.20 |
5.73 |
6.31 |
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 |
44.86 |
3.57 |
51.57 |
| G1 Execution Services |
38.63 |
39.83 |
24.13 |
38.58 |
| Cantor Fitzgerald&Co |
29.47 |
30.11 |
22.85 |
29.36 |
| Citadel Securities |
17.33 |
15.53 |
15.11 |
19.05 |
| VIRTU Americas LLC |
12.39 |
13.97 |
14.28 |
10.87 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
34.77 |
62.92 |
2.31 |
| Citigroup Global Markets |
45.14 |
47.77 |
43.52 |
49.60 |
| Citadel Execution Service |
22.00 |
32.11 |
15.94 |
34.83 |
| Interactive Brokers LLC |
10.31 |
12.72 |
9.02 |
8.99 |
| Susquehanna Investment Gr |
4.91 |
6.12 |
4.24 |
4.98 |
| Chicago Board OptionsExch |
4.26 |
0.00 |
6.78 |
0.00 |
| Philadelphia Option Exch |
3.52 |
0.00 |
5.59 |
0.00 |
| Internat'l Secs Exch |
3.12 |
0.02 |
4.94 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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