SEC Rule 606 Report
- LPL Financial - 4th 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 |
36.97 |
3.15 |
59.88 |
| Citadel Securities |
36.90 |
36.71 |
44.58 |
36.61 |
| UBS Securities LLC |
35.46 |
39.10 |
29.77 |
33.51 |
| VIRTU Americas LLC |
12.57 |
11.46 |
13.55 |
13.21 |
| G1 Execution Services |
9.39 |
8.06 |
8.55 |
10.26 |
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 |
34.53 |
2.57 |
62.89 |
| Citadel Securities |
35.52 |
27.78 |
43.40 |
39.44 |
| G1 Execution Services |
28.18 |
39.79 |
17.57 |
22.25 |
| UBS Securities LLC |
20.31 |
18.10 |
17.96 |
21.63 |
| VIRTU Americas LLC |
10.25 |
8.52 |
14.38 |
11.04 |
| Two Sigma Securities, LLC |
5.55 |
5.55 |
6.41 |
5.52 |
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 |
43.11 |
1.75 |
55.14 |
| G1 Execution Services |
79.42 |
80.59 |
68.74 |
78.84 |
| Citadel Securities |
11.06 |
9.32 |
18.58 |
12.19 |
| UBS Securities LLC |
6.42 |
6.89 |
9.08 |
5.97 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
38.57 |
60.11 |
1.32 |
| Susquehanna Investment Gr |
52.48 |
57.79 |
49.41 |
37.52 |
| Citadel Execution Service |
22.33 |
25.34 |
20.29 |
27.02 |
| Citi Order Routing & Exec LLC |
15.50 |
15.08 |
15.42 |
30.86 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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