SEC Rule 606 Report
- Traderfield Securities Inc - 1st 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 |
21.88 |
61.61 |
16.52 |
| UBS Securities LLC |
45.09 |
46.94 |
40.58 |
59.46 |
| Citadel Securities |
33.04 |
26.53 |
39.13 |
18.92 |
| Goldman Sachs Exec&Clear |
19.64 |
26.53 |
20.29 |
8.11 |
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 |
19.75 |
62.32 |
17.93 |
| UBS Securities LLC |
50.54 |
55.96 |
52.91 |
36.36 |
| Goldman Sachs Exec&Clear |
24.28 |
23.85 |
26.16 |
18.18 |
| Citadel Securities |
21.01 |
20.18 |
20.64 |
23.23 |
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 |
15.99 |
68.71 |
15.31 |
| UBS Securities LLC |
56.80 |
48.94 |
64.85 |
28.89 |
| Citadel Securities |
35.03 |
48.94 |
35.15 |
20.00 |
| CPPT |
7.48 |
0.00 |
0.00 |
48.89 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
10.71 |
89.29 |
0.00 |
| Citadel Securities |
51.02 |
33.33 |
53.14 |
0.00 |
| Susquehanna Investment Gr |
48.98 |
66.67 |
46.86 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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