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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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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