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