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 VenuesTotal (%)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 VenuesTotal (%)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 VenuesTotal (%)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 VenuesTotal (%)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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