SEC Rule 606 Report
- LPL Financial - 1st Qtr, 2019
(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 |
34.67 |
3.16 |
62.17 |
UBS Securities LLC |
38.82 |
40.28 |
32.17 |
38.34 |
Citadel Securities |
33.54 |
34.02 |
37.11 |
33.09 |
VIRTU Americas LLC |
14.28 |
14.92 |
20.27 |
13.61 |
G1 Execution Services |
6.70 |
5.16 |
5.04 |
7.65 |
Two Sigma Securities, LLC |
5.81 |
4.75 |
4.79 |
6.45 |
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 |
33.74 |
2.82 |
63.44 |
Citadel Securities |
33.78 |
28.43 |
39.32 |
36.37 |
G1 Execution Services |
29.54 |
38.72 |
16.53 |
25.23 |
UBS Securities LLC |
22.01 |
19.90 |
20.62 |
23.20 |
VIRTU Americas LLC |
9.35 |
7.32 |
16.29 |
10.12 |
Two Sigma Securities, LLC |
5.09 |
5.31 |
7.00 |
4.89 |
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 |
40.94 |
1.42 |
57.64 |
G1 Execution Services |
76.35 |
78.04 |
61.96 |
75.50 |
Citadel Securities |
13.43 |
12.49 |
25.00 |
13.82 |
UBS Securities LLC |
8.47 |
7.83 |
9.06 |
8.92 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
37.89 |
60.97 |
1.14 |
Susquehanna Investment Gr |
39.15 |
41.05 |
37.91 |
41.93 |
Citadel Execution Service |
26.30 |
33.01 |
22.12 |
27.00 |
Citi Order Routing & Exec LLC |
26.17 |
25.94 |
26.23 |
31.07 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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