SEC Rule 606 Report
- LPL Financial - 4th 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 |
32.01 |
3.41 |
64.58 |
Citadel Securities |
35.69 |
36.95 |
39.01 |
34.89 |
UBS Securities LLC |
34.72 |
32.03 |
26.56 |
36.48 |
VIRTU Americas LLC |
13.66 |
14.95 |
17.85 |
12.80 |
G1 Execution Services |
6.51 |
5.79 |
8.26 |
6.77 |
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 |
31.42 |
3.04 |
65.54 |
G1 Execution Services |
32.30 |
41.88 |
15.02 |
28.50 |
Citadel Securities |
25.96 |
20.48 |
30.21 |
28.39 |
UBS Securities LLC |
20.53 |
16.94 |
17.95 |
22.37 |
VIRTU Americas LLC |
14.68 |
13.46 |
24.13 |
14.82 |
Two Sigma Securities, LLC |
5.91 |
6.62 |
5.89 |
5.58 |
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 |
37.09 |
2.98 |
59.93 |
G1 Execution Services |
77.91 |
79.15 |
41.42 |
78.96 |
Citadel Securities |
15.27 |
12.94 |
25.19 |
16.22 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
40.62 |
57.35 |
2.03 |
Susquehanna Investment Gr |
42.00 |
41.29 |
42.48 |
42.77 |
Citadel Execution Service |
28.27 |
34.80 |
23.47 |
33.19 |
Citigroup Global Markets Inc. (AUTO) |
19.17 |
23.02 |
16.30 |
23.35 |
Cboe EDGX Exchange, Inc. |
2.71 |
0.00 |
4.72 |
0.00 |
Cboe Options Exchange |
2.56 |
0.00 |
4.47 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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