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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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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