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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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 Venues | Total (%) | 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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