SEC Rule 606 Report
- LPL Financial - 2nd 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 |
32.74 |
3.03 |
64.23 |
UBS Securities LLC |
37.94 |
38.33 |
30.44 |
38.10 |
Citadel Securities |
35.84 |
36.82 |
38.63 |
35.20 |
VIRTU Americas LLC |
12.74 |
13.57 |
17.39 |
12.09 |
G1 Execution Services |
6.36 |
4.65 |
4.46 |
7.33 |
Two Sigma Securities, LLC |
5.54 |
4.79 |
7.97 |
5.81 |
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 |
32.17 |
2.71 |
65.12 |
Citadel Securities |
33.95 |
28.60 |
39.12 |
36.38 |
G1 Execution Services |
26.74 |
36.10 |
14.69 |
22.62 |
UBS Securities LLC |
23.05 |
20.02 |
23.58 |
24.52 |
VIRTU Americas LLC |
10.25 |
8.78 |
16.04 |
10.74 |
Two Sigma Securities, LLC |
5.80 |
6.20 |
6.26 |
5.59 |
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 |
40.05 |
1.58 |
58.37 |
G1 Execution Services |
77.02 |
77.70 |
62.71 |
76.95 |
Citadel Securities |
14.96 |
14.60 |
27.83 |
14.85 |
UBS Securities LLC |
5.23 |
4.88 |
4.93 |
5.47 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
41.03 |
57.39 |
1.58 |
Citi Order Routing & Exec LLC |
40.36 |
38.34 |
41.87 |
37.96 |
Citadel Execution Service |
27.29 |
34.81 |
21.61 |
38.39 |
Susquehanna Investment Gr |
23.93 |
24.48 |
23.63 |
20.39 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
How to read this report
© Copyright 2019 CoreOne Technologies.
All Rights Reserved.