SEC Rule 606 Report
- Ameriprise Advisor Services, Inc. - 4th Qtr, 2009
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
48 |
13 |
40 |
| New York Stock Exch |
37.57 |
31.78 |
40.40 |
43.59 |
| Knight Capital Markets |
29.29 |
35.61 |
25.83 |
22.83 |
| Auto Trading Desk Fin Svc |
16.24 |
15.93 |
20.20 |
15.36 |
| E*Trade Capital Markets, |
7.81 |
6.97 |
5.63 |
9.50 |
| Citadel Derivatives Group |
5.20 |
5.57 |
4.47 |
4.98 |
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 |
55 |
15 |
30 |
| Knight Equity Markets |
30.28 |
30.58 |
25.66 |
32.12 |
| Auto Trading Desk Fin Svc |
24.81 |
26.57 |
18.58 |
24.83 |
| UBS Securities LLC |
20.37 |
20.18 |
26.99 |
17.31 |
| Hudson Securities |
15.31 |
15.66 |
19.47 |
12.53 |
100.00% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
50 |
13 |
37 |
| Knight Capital Markets |
31.73 |
33.13 |
38.53 |
27.38 |
| Auto Trading Desk Fin Svc |
31.43 |
33.73 |
15.60 |
33.93 |
| NYSE Amex |
15.02 |
8.85 |
27.98 |
18.85 |
| UBS Securities LLC |
7.39 |
6.58 |
2.29 |
10.33 |
| Citadel Derivatives Group |
6.55 |
8.73 |
6.88 |
3.44 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
42 |
55 |
3 |
| Interactive Brokers LLC |
100.00 |
100.00 |
100.00 |
100.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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