SEC Rule 606 Report - Mesirow Financial - 1st Qtr, 2013

(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)


Securities Listed on New York Stock Exchange Euronext
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 39 15 46
Knight Capital Americas 53.89 52.02 51.87 56.15
Citigroup Global Markets 41.01 45.46 29.68 40.91
100.00% of total customer orders were non-directed orders.

Securities Listed on The Nasdaq Stock Market
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 33 30 36
Knight Capital Americas 55.84 50.26 72.90 46.73
Citigroup Global Markets 40.52 47.15 20.42 51.20
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 55 15 31
Citigroup Global Markets 66.06 74.39 39.23 64.07
Knight Capital Americas 33.59 25.48 60.77 35.01
100.00% of total customer orders were non-directed orders.

Exchange-Listed Options
Route VenuesTotal (%)Market (%)Limit (%)Other (%)
Total (%)100 6 70 25
Citigroup Global Markets 63.81 62.00 51.26 100.00
Citadel Securities LLC 36.19 38.00 48.74 0.00
100.00% of total customer orders were non-directed orders.


Material Aspects of Relationship with Route Venues
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