SEC Rule 606 Report
- LPL Financial - 1st Qtr, 2008
(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 |
42 |
4 |
54 |
| Knight Capital Markets |
31 |
31 |
36 |
30 |
| Bernard L. Madoff |
26 |
24 |
22 |
27 |
| Auto Trading Desk Fin Svc |
23 |
25 |
24 |
22 |
| E*Trade Capital Markets, |
11 |
10 |
3 |
12 |
| UBS Securities LLC |
5 |
5 |
6 |
5 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
43 |
6 |
51 |
| Knight Equity Markets |
57 |
53 |
69 |
58 |
| Bernard L. Madoff |
22 |
22 |
13 |
23 |
| UBS Securities LLC |
9 |
9 |
8 |
8 |
| Auto Trading Desk Fin Svc |
7 |
8 |
6 |
5 |
| Citadel Derivatives Group |
5 |
6 |
4 |
4 |
100% of total customer orders were non-directed orders.
Securities Listed on American Stock Exchange or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
51 |
6 |
44 |
| Knight Capital Markets |
86 |
86 |
81 |
87 |
| Citadel Derivatives Group |
6 |
6 |
6 |
5 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
45 |
55 |
0 |
| Interactive Brokers LLC |
93 |
93 |
93 |
100 |
100% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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