SEC Rule 606 Report
- American Enterprise Investment 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 |
49 |
9 |
42 |
| Knight Capital Markets |
32.57 |
31.93 |
35.18 |
32.73 |
| Citadel Derivatives Group |
17.77 |
17.74 |
12.90 |
18.89 |
| Auto Trading Desk Fin Svc |
17.35 |
17.19 |
12.16 |
18.71 |
| UBS Securities LLC |
17.29 |
17.17 |
16.99 |
17.50 |
| New York Stock Exch |
7.98 |
8.87 |
13.76 |
5.65 |
| E*Trade Capital Markets, |
5.19 |
5.77 |
5.29 |
4.50 |
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 |
47 |
11 |
42 |
| Knight Equity Markets |
33.74 |
33.14 |
36.53 |
33.67 |
| UBS Securities LLC |
17.40 |
17.67 |
23.93 |
15.37 |
| Citadel Derivatives Group |
17.26 |
15.66 |
9.89 |
21.00 |
| Auto Trading Desk Fin Svc |
14.99 |
15.47 |
14.51 |
14.58 |
| E*Trade Capital Markets, |
12.06 |
12.88 |
7.23 |
12.42 |
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 |
6 |
44 |
| Knight Capital Markets |
57.56 |
56.18 |
60.17 |
58.76 |
| Auto Trading Desk Fin Svc |
15.22 |
16.16 |
12.01 |
14.60 |
| Citadel Derivatives Group |
14.10 |
15.97 |
6.92 |
13.00 |
| UBS Securities LLC |
8.56 |
7.76 |
9.44 |
9.35 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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