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