SEC Rule 606 Report
- LPL Financial - 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 |
45 |
9 |
46 |
| Knight Capital Markets |
45.37 |
43.36 |
46.07 |
47.18 |
| Auto Trading Desk Fin Svc |
28.56 |
29.79 |
31.32 |
26.85 |
| Citadel Derivatives Group |
20.09 |
22.33 |
16.65 |
18.55 |
| E*Trade Capital Markets, |
5.28 |
4.40 |
2.73 |
6.61 |
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 |
42 |
9 |
49 |
| Knight Equity Markets |
58.05 |
60.35 |
71.47 |
53.58 |
| Citadel Derivatives Group |
25.66 |
23.95 |
13.06 |
29.48 |
| Auto Trading Desk Fin Svc |
15.07 |
15.70 |
11.06 |
15.27 |
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 |
7 |
42 |
| Auto Trading Desk Fin Svc |
42.07 |
43.86 |
45.88 |
39.29 |
| Knight Capital Markets |
29.03 |
27.67 |
28.67 |
30.70 |
| Citadel Derivatives Group |
27.84 |
27.56 |
23.22 |
28.97 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
44 |
55 |
1 |
| Interactive Brokers LLC |
88.45 |
90.47 |
86.67 |
96.94 |
| Citigroup Global Markets |
5.40 |
5.96 |
5.04 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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