SEC Rule 606 Report - LPL Financial - 4th Qtr, 2009
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)

Securities Listed on New York Stock Exchange
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 43 7 50
Knight Capital Markets 44.56 43.49 51.93 44.43
Auto Trading Desk Fin Svc 31.92 33.33 28.73 31.16
Citadel Derivatives Group 17.31 18.50 13.20 16.86
E*Trade Capital Markets, 5.39 4.56 2.29 6.55
100.00% of total customer orders were non-directed orders.

Securities Listed on The Nasdaq Stock Market
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 42 8 50
Knight Equity Markets 56.95 59.54 63.65 53.74
Citadel Derivatives Group 29.52 26.73 16.99 33.83
Auto Trading Desk Fin Svc 11.66 13.73 8.83 10.41
100.00% of total customer orders were non-directed orders.

Securities Listed on NYSE Amex or Regional Exchanges
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 48 6 46
Knight Capital Markets 45.17 44.14 42.85 46.58
Auto Trading Desk Fin Svc 26.86 26.73 30.79 26.47
Citadel Derivatives Group 25.68 27.13 23.97 24.36
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 47 52 1
Interactive Brokers LLC 88.51 88.52 88.33 98.46
Citigroup Global Markets 6.89 6.65 7.24 0.00
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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