SEC Rule 606 Report
- LPL Financial - 3rd 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 |
34.03 |
4.74 |
61.23 |
| Citadel Securities |
44.81 |
48.41 |
37.36 |
43.39 |
| UBS Securities LLC |
32.46 |
35.86 |
18.66 |
31.63 |
| G1 Execution Services |
11.60 |
9.11 |
5.49 |
13.46 |
| Two Sigma Securities, LLC |
3.50 |
3.32 |
1.77 |
3.73 |
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 |
33.77 |
3.95 |
62.28 |
| Citadel Securities |
35.79 |
30.46 |
37.54 |
38.57 |
| G1 Execution Services |
25.96 |
35.39 |
12.15 |
21.72 |
| UBS Securities LLC |
15.27 |
12.73 |
10.91 |
16.92 |
| VIRTU Americas LLC |
12.68 |
12.43 |
13.16 |
12.78 |
| Two Sigma Securities, LLC |
6.28 |
6.62 |
5.36 |
6.14 |
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 |
38.55 |
3.33 |
58.12 |
| G1 Execution Services |
73.22 |
75.38 |
39.94 |
73.70 |
| Citadel Securities |
20.70 |
21.37 |
25.16 |
19.99 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
37.67 |
59.26 |
3.07 |
| Susquehanna Investment Gr |
52.95 |
57.15 |
51.03 |
38.56 |
| Citadel Execution Service |
19.52 |
22.31 |
17.43 |
25.67 |
| ATDO |
15.53 |
18.03 |
12.94 |
34.75 |
| International Securities Exchange |
3.70 |
0.00 |
6.25 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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