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 VenuesTotal (%)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 VenuesTotal (%)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 VenuesTotal (%)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 VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 40.99 57.42 1.59
Citi Order Routing & Exec LLC 40.32 38.34 41.80 37.90
Citadel Execution Service 27.26 34.80 21.57 38.34
Susquehanna Investment Gr 23.91 24.48 23.60 20.41
99.92% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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