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