SEC Rule 606 Report
- American Enterprise Investment Services, Inc - 2nd Qtr, 2010
(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 |
47 |
9 |
44 |
| Knight Capital Markets |
31.34 |
31.05 |
35.49 |
30.83 |
| UBS Securities LLC |
20.10 |
21.47 |
23.18 |
18.05 |
| Citadel Derivatives Group |
18.31 |
18.96 |
11.50 |
18.94 |
| Auto Trading Desk Fin Svc |
15.32 |
15.81 |
8.54 |
16.12 |
| E*Trade Capital Markets, |
5.40 |
5.99 |
5.31 |
4.80 |
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 |
45 |
10 |
46 |
| Knight Equity Markets |
32.16 |
33.00 |
37.66 |
30.17 |
| Citadel Derivatives Group |
18.78 |
17.42 |
11.38 |
21.68 |
| UBS Securities LLC |
17.88 |
18.90 |
25.31 |
15.31 |
| E*Trade Capital Markets, |
13.29 |
14.45 |
8.78 |
13.11 |
| Auto Trading Desk Fin Svc |
10.12 |
10.16 |
9.77 |
10.15 |
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 |
5 |
45 |
| Knight Capital Markets |
56.52 |
56.65 |
48.91 |
57.29 |
| Citadel Derivatives Group |
14.80 |
16.21 |
12.89 |
13.46 |
| Auto Trading Desk Fin Svc |
13.73 |
14.35 |
12.39 |
13.20 |
| UBS Securities LLC |
9.61 |
9.40 |
16.51 |
9.03 |
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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