WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
NOTE: BROKER-DEALERS ARE REQUIRED TO DISCLOSE ANY MATERIAL ARRANGEMENTS WITH THE VENUES
LISTED IN EACH SECTION BELOW, INCLUDING, BUT NOT LIMITED TO, ANY INTERNALIZATION
OR PAYMENT FOR ORDER FLOW ARRANGEMENTS
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2017
SECURITIES LISTED ON THE NEW YORK STOCK EXCHANGE
SUMMARY STATISTICS :
NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS 100.00%
MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 74.69%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 21.23%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 4.08%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. VIRTU Americas LLC 36.98%
2. Citadel Securities LLC 34.20%
3. National Financial Services LLC 7.11%
4. Two Sigma Securities, LLC 6.24%
5. Cboe EDGX U.S. Equities Exchange 2.66%
6. G1 Execution Services, LLC 2.65%
7. BATS BYX Exchange 2.24%
8. Instinet LLC 1.63%
9. NASDAQ Execution Services, LLC 1.49%
10. UBS Securities, LLC 1.21%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. VIRTU Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 34.65%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 48.73%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 18.40%
2. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 38.24%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 19.86%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 34.80%
3. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 8.58%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.77%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 8.00%
4. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 7.94%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.46%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2017
5. Cboe EDGX U.S. Equities Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 12.24%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.60%
6. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.28%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.92%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. BATS BYX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.84%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.31%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.20%
8. Instinet LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.03%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.38%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.80%
9. NASDAQ Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 6.16%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 4.40%
10. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.44%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.16%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 5.20%
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2017
SECURITIES LISTED ON THE NASDAQ STOCK MARKET
SUMMARY STATISTICS :
NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS 100.00%
MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 71.56%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 24.43%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 4.01%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. Citadel Securities LLC 34.67%
2. VIRTU Americas LLC 33.93%
3. Cboe EDGX U.S. Equities Exchange 6.79%
4. National Financial Services LLC 6.54%
5. Two Sigma Securities, LLC 5.89%
6. NASDAQ Execution Services, LLC 3.08%
7. G1 Execution Services, LLC 2.78%
8. Instinet LLC 1.42%
9. BATS BYX Exchange 1.39%
10. UBS Securities, LLC 1.26%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 38.15%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 22.35%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 47.69%
2. VIRTU Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 36.68%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 28.91%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 15.38%
3. Cboe EDGX U.S. Equities Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 27.65%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.77%
4. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 8.49%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.14%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 4.62%
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2017
5. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 7.72%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.52%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. NASDAQ Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 12.50%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.77%
7. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.53%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.76%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.54%
8. Instinet LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.72%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.38%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.31%
9. BATS BYX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.72%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.63%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.60%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 2.53%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 5.38%
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2017
SECURITIES LISTED ON THE NYSE MKT LLC OR REGIONAL EXCHANGES
SUMMARY STATISTICS :
NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS 100.00%
MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 83.79%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 14.04%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 2.18%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. VIRTU Americas LLC 39.07%
2. Citadel Securities LLC 37.05%
3. Two Sigma Securities, LLC 7.34%
4. G1 Execution Services, LLC 3.67%
5. BATS BYX Exchange 3.24%
6. National Financial Services LLC 2.39%
7. UBS Securities, LLC 1.91%
8. Instinet LLC 1.81%
9. BNY Mellon Capital Markets LLC 1.01%
10. NASDAQ Execution Services, LLC 0.80%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. VIRTU Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 38.20%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 48.48%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 12.20%
2. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 38.39%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 23.86%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 70.73%
3. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 7.99%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 4.55%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 4.19%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.14%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2017
5. BATS BYX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.81%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.38%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.41%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 2.65%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.21%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 5.30%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 7.32%
8. Instinet LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.09%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.38%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. BNY Mellon Capital Markets LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.21%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. NASDAQ Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 5.68%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2017
EXCHANGE - LISTED OPTIONS
SUMMARY STATISTICS :
NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS 100.00%
MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 30.48%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 67.45%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 2.07%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. NASDAQ PHLX Options 22.34%
2. Cboe BZX Options Exchange, Inc. 16.41%
3. Cboe Options Exchange 14.90%
4. NASDAQ Options Market 12.83%
5. ISE Gemini Options Exchange 8.41%
6. NYSE Arca Options 6.34%
7. BOX Option Exchange 4.97%
8. The MIAX Options Exchange 4.55%
9. NYSE Amex Options 3.86%
10. Cboe C2 Options Exchange 2.21%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. NASDAQ PHLX Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 44.80%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 11.86%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 33.33%
2. Cboe BZX Options Exchange, Inc.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.45%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 24.13%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
3. Cboe Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 25.79%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 8.59%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 60.00%
4. NASDAQ Options Market
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.45%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 18.81%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2017
5. ISE Gemini Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.45%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 12.27%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. NYSE Arca Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 9.41%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. BOX Option Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 7.69%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.89%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
8. The MIAX Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 5.43%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 4.29%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. NYSE Amex Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 10.86%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.82%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. Cboe C2 Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.07%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 6.67%
*END OF DATA*