SEC Rule 606 Report
- LPL Financial - 2nd 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 |
35.89 |
4.88 |
59.23 |
Citadel Securities |
46.78 |
50.10 |
37.30 |
45.56 |
UBS Securities LLC |
30.91 |
33.61 |
17.36 |
30.39 |
G1 Execution Services |
12.02 |
10.21 |
5.91 |
13.61 |
Two Sigma Securities, LLC |
3.31 |
3.28 |
1.67 |
3.46 |
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 |
34.30 |
3.95 |
61.74 |
Citadel Securities |
32.84 |
28.91 |
36.31 |
34.80 |
G1 Execution Services |
25.81 |
34.33 |
11.77 |
21.97 |
UBS Securities LLC |
13.51 |
11.53 |
9.86 |
14.85 |
VIRTU Americas LLC |
13.30 |
13.97 |
15.87 |
12.76 |
Two Sigma Securities, LLC |
9.03 |
8.53 |
4.88 |
9.57 |
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 |
38.66 |
2.87 |
58.47 |
G1 Execution Services |
70.05 |
71.83 |
33.97 |
70.65 |
Citadel Securities |
21.94 |
21.94 |
28.86 |
21.60 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
38.53 |
59.18 |
2.29 |
Susquehanna Investment Gr |
41.97 |
43.18 |
41.14 |
43.01 |
ATDO |
22.87 |
28.45 |
19.07 |
27.02 |
Citadel Execution Service |
20.23 |
25.50 |
16.55 |
26.65 |
Chicago Board Options Exchange |
3.06 |
0.00 |
5.18 |
0.00 |
Boston Options Exchange |
1.94 |
0.00 |
3.27 |
0.00 |
EDGO |
1.63 |
0.00 |
2.74 |
0.18 |
International Securities Exchange |
1.59 |
0.00 |
2.69 |
0.00 |
ATM |
1.59 |
0.00 |
2.69 |
0.00 |
Citadel Securities LLC |
1.19 |
1.60 |
0.93 |
1.10 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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