SEC Rule 606 Report - LPL Financial - 4th 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 36.35 5.15 58.50
Citadel Securities 29.40 31.55 22.73 28.65
UBS Securities LLC 21.49 25.25 12.08 19.98
VIRTU Americas LLC 17.76 16.27 14.79 18.95
Two Sigma Securities, LLC 14.51 14.54 8.16 15.05
G1 Execution Services 9.41 8.09 4.21 10.69
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 35.00 3.96 61.04
Citadel Securities 30.86 28.37 32.60 32.17
G1 Execution Services 22.66 29.52 12.31 19.40
VIRTU Americas LLC 17.09 18.34 18.61 16.27
Two Sigma Securities, LLC 15.39 12.10 8.54 17.72
UBS Securities LLC 5.73 6.27 6.81 5.35
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 39.80 2.66 57.53
G1 Execution Services 62.75 63.48 39.40 63.32
Citadel Securities 21.63 21.59 21.95 21.64
Cantor Fitzgerald&Co 9.83 10.33 6.45 9.64
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 38.97 57.50 3.53
Susquehanna Investment Gr 45.87 47.35 45.17 40.71
Citadel Execution Service 20.25 27.89 14.59 27.91
ATDO 15.76 23.14 9.92 29.39
International Securities Exchange 5.20 0.00 9.05 0.00
Chicago Board Options Exchange 5.17 0.00 8.99 0.00
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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