SEC Rule 606 Report - LPL Financial - 1st Qtr, 2017

(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 37.01 4.92 58.07
Citadel Securities 26.15 27.11 17.47 26.28
VIRTU Americas LLC 21.70 22.74 22.86 20.94
G1 Execution Services 21.20 20.65 15.21 22.05
UBS Securities LLC 19.18 20.64 12.66 18.80
Two Sigma Securities, LLC 6.91 6.63 4.50 7.30
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 36.35 4.42 59.22
G1 Execution Services 31.28 39.14 30.80 26.49
Citadel Securities 19.71 14.79 11.47 23.35
VIRTU Americas LLC 18.28 18.95 21.42 17.63
Two Sigma Securities, LLC 18.18 15.98 9.07 20.21
UBS Securities LLC 5.89 6.62 5.24 5.50
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 44.35 2.71 52.94
G1 Execution Services 52.25 53.45 33.24 52.23
Cantor Fitzgerald&Co 18.91 20.57 16.91 17.61
Citadel Securities 17.14 14.28 14.16 19.70
VIRTU Americas LLC 8.20 9.46 10.48 7.03
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 29.39 68.43 2.18
Citadel Execution Service 54.78 59.18 52.41 69.97
ATDO 10.26 15.36 8.03 11.21
Interactive Brokers LLC 8.36 14.07 5.86 10.06
Susquehanna Investment Gr 6.95 9.80 5.70 7.90
Chicago Board OptionsExch 5.52 0.00 8.07 0.00
Internat'l Secs Exch 3.72 0.00 5.43 0.00
ATM 2.06 0.01 3.01 0.00
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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