SEC Rule 606 Report
- LPL Financial - 2nd 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 |
36.96 |
4.96 |
58.08 |
| Citadel Securities |
25.64 |
25.92 |
16.03 |
26.29 |
| VIRTU Americas LLC |
20.26 |
20.65 |
19.56 |
20.07 |
| UBS Securities LLC |
19.40 |
21.25 |
13.30 |
18.75 |
| Two Sigma Securities, LLC |
16.76 |
16.80 |
12.71 |
17.08 |
| G1 Execution Services |
13.15 |
12.98 |
9.09 |
13.60 |
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 |
35.65 |
4.41 |
59.94 |
| G1 Execution Services |
26.67 |
35.95 |
23.67 |
21.38 |
| Citadel Securities |
25.95 |
20.49 |
19.47 |
29.67 |
| Two Sigma Securities, LLC |
19.50 |
16.55 |
10.38 |
21.93 |
| VIRTU Americas LLC |
16.46 |
17.00 |
19.50 |
15.92 |
| UBS Securities LLC |
5.72 |
6.05 |
8.92 |
5.28 |
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 |
42.17 |
2.81 |
55.02 |
| G1 Execution Services |
63.45 |
65.76 |
43.47 |
62.70 |
| Cantor Fitzgerald&Co |
15.40 |
16.35 |
12.92 |
14.79 |
| Citadel Securities |
14.70 |
11.98 |
13.99 |
16.82 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
30.51 |
66.44 |
3.05 |
| Citadel Execution Service |
52.26 |
59.50 |
48.13 |
69.61 |
| ATDO |
14.34 |
21.78 |
10.78 |
17.61 |
| Susquehanna Investment Gr |
11.80 |
16.12 |
9.83 |
11.28 |
| Chicago Board OptionsExch |
7.36 |
0.00 |
11.08 |
0.00 |
| Internat'l Secs Exch |
4.01 |
0.00 |
6.03 |
0.00 |
| BATS Stock Exchange |
2.28 |
0.00 |
3.44 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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