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