SEC Rule 606 Report
- LPL Financial - 3rd 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 |
32.60 |
3.00 |
64.40 |
| UBS Securities LLC |
36.86 |
35.98 |
29.71 |
37.63 |
| Citadel Securities |
36.83 |
38.22 |
39.77 |
36.00 |
| VIRTU Americas LLC |
13.05 |
14.05 |
19.72 |
12.23 |
| G1 Execution Services |
6.17 |
4.63 |
4.92 |
7.01 |
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 |
31.57 |
3.12 |
65.31 |
| G1 Execution Services |
30.18 |
40.91 |
17.06 |
25.61 |
| Citadel Securities |
28.98 |
22.83 |
38.76 |
31.48 |
| UBS Securities LLC |
20.78 |
17.60 |
17.28 |
22.48 |
| VIRTU Americas LLC |
14.73 |
12.83 |
21.45 |
15.34 |
| Two Sigma Securities, LLC |
5.10 |
5.51 |
5.09 |
4.90 |
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 |
39.34 |
2.25 |
58.41 |
| G1 Execution Services |
75.33 |
75.99 |
52.79 |
75.75 |
| Citadel Securities |
18.44 |
17.05 |
35.46 |
18.72 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
40.60 |
57.87 |
1.53 |
| Citi Order Routing & Exec LLC |
40.18 |
41.38 |
39.34 |
40.17 |
| Citadel Execution Service |
27.63 |
33.06 |
23.55 |
37.58 |
| Susquehanna Investment Gr |
21.28 |
23.39 |
19.80 |
20.95 |
| International Securities Exchange |
3.45 |
0.00 |
5.96 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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