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