SEC Rule 606 Report - LPL Financial - 4th 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 38.06 5.54 56.41
Citadel Securities 25.47 25.97 16.00 26.06
G1 Execution Services 23.39 21.97 15.84 25.09
VIRTU Americas LLC 22.58 24.16 23.15 21.46
UBS Securities LLC 19.81 21.98 12.94 19.02
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 36.81 4.95 58.24
G1 Execution Services 31.04 37.43 31.74 26.94
VIRTU Americas LLC 20.10 21.93 23.16 18.68
Citadel Securities 19.50 13.93 9.92 23.83
Two Sigma Securities, LLC 9.77 9.07 5.33 10.59
Cantor Fitzgerald&Co 7.35 6.78 2.76 8.10
UBS Securities LLC 6.45 7.30 6.35 5.92
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 46.31 3.37 50.32
G1 Execution Services 44.48 45.03 26.78 45.16
Cantor Fitzgerald&Co 25.22 26.18 19.41 24.72
Citadel Securities 17.54 15.41 16.40 19.58
VIRTU Americas LLC 10.96 12.85 12.98 9.08
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 31.32 66.39 2.29
ATDO 33.17 35.89 31.72 38.14
Citadel Execution Service 31.56 41.00 26.63 45.35
Interactive Brokers LLC 10.40 14.46 8.50 10.26
Chicago Board OptionsExch 6.13 0.01 9.23 0.00
Susquehanna Investment Gr 5.77 6.92 5.24 5.29
Internat'l Secs Exch 2.47 0.00 3.72 0.00
Boston Options Exchange 1.98 0.00 2.98 0.00
ATM 1.96 0.00 2.95 0.00
MIAX Options Exchange 1.22 0.00 1.83 0.00
GMNI 1.14 0.00 1.72 0.00
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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