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