SEC Rule 606 Report
- LPL Financial - 3rd 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 |
36.33 |
5.01 |
58.66 |
| Citadel Securities |
25.63 |
26.75 |
15.96 |
25.76 |
| VIRTU Americas LLC |
20.31 |
20.36 |
19.36 |
20.37 |
| UBS Securities LLC |
19.64 |
21.58 |
12.12 |
19.08 |
| Two Sigma Securities, LLC |
15.95 |
15.81 |
10.96 |
16.46 |
| G1 Execution Services |
12.87 |
12.87 |
8.85 |
13.22 |
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 |
34.81 |
4.33 |
60.86 |
| Citadel Securities |
32.79 |
29.34 |
31.47 |
34.85 |
| G1 Execution Services |
22.90 |
31.67 |
13.28 |
18.57 |
| Two Sigma Securities, LLC |
18.09 |
15.24 |
10.95 |
20.23 |
| VIRTU Americas LLC |
14.92 |
14.58 |
19.29 |
14.79 |
| UBS Securities LLC |
5.15 |
5.52 |
5.48 |
4.92 |
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 |
40.99 |
2.92 |
56.08 |
| G1 Execution Services |
66.31 |
69.53 |
43.91 |
65.13 |
| Citadel Securities |
14.62 |
11.98 |
12.82 |
16.64 |
| Cantor Fitzgerald&Co |
12.68 |
13.41 |
8.79 |
12.35 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
33.55 |
63.40 |
3.05 |
| Citadel Execution Service |
38.19 |
45.46 |
33.36 |
58.40 |
| Susquehanna Investment Gr |
24.79 |
29.14 |
22.70 |
20.26 |
| ATDO |
15.72 |
23.31 |
11.50 |
19.99 |
| Chicago Board OptionsExch |
8.30 |
0.00 |
13.09 |
0.14 |
| Internat'l Secs Exch |
3.94 |
0.01 |
6.20 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
How to read this report
© Copyright 2017 CoreOne Technologies.
All Rights Reserved.