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