SEC Rule 606 Report - Traderfield Securities Inc - 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 2.68 80.54 16.78
UBS Securities LLC 56.38 100.00 55.00 56.00
Citadel Securities 22.15 0.00 23.33 20.00
Goldman Sachs Exec&Clear 17.45 0.00 21.67 0.00
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 2.67 85.44 11.89
UBS Securities LLC 35.96 44.44 38.43 16.25
Goldman Sachs Exec&Clear 33.28 11.11 36.17 17.50
Citadel Securities 23.77 44.44 25.22 8.75
CPPT 6.98 0.00 0.17 57.50
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 11.86 59.89 28.25
UBS Securities LLC 59.89 61.90 75.47 26.00
Citadel Securities 22.60 38.10 24.53 12.00
CPPT 16.38 0.00 0.00 58.00
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total 100.00 0.00 100.00 0.00
Susquehanna Investment Gr 51.61 0.00 51.61 0.00
Citadel Securities 48.39 0.00 48.39 0.00
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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