SEC Rule 606 Report - LPL Financial - 1st Qtr, 2018

(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 36.06 4.76 59.17
Citadel Securities 47.13 49.78 34.67 46.52
UBS Securities LLC 28.67 31.67 15.42 27.91
G1 Execution Services 12.74 11.55 7.32 13.91
OTC 3.08 0.00 34.97 2.40
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 34.17 3.80 62.03
Citadel Securities 29.70 25.34 30.98 32.03
G1 Execution Services 24.00 33.37 12.35 19.55
VIRTU Americas LLC 13.81 14.78 15.69 13.16
UBS Securities LLC 12.98 11.69 10.98 13.82
Two Sigma Securities, LLC 11.56 10.36 5.98 12.57
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 40.22 2.71 57.07
G1 Execution Services 67.57 69.34 37.61 67.73
Citadel Securities 21.67 21.03 21.61 22.12
Cantor Fitzgerald&Co 7.58 8.04 5.02 7.38
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 36.48 59.28 4.23
Susquehanna Investment Gr 46.36 49.00 44.92 43.81
Citadel Execution Service 19.96 27.57 14.97 24.32
Citigroup Global Markets 15.53 21.67 10.67 30.71
Chicago Board Options Exchange 5.18 0.00 8.73 0.00
DirectEdge Exchange(EDGX) 3.09 0.00 5.22 0.00
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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