WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 1 PAGE 18.01
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 31,2018
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 74.93%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 20.79%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 4.28%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. Citadel Securities LLC 45.54%
2. VIRTU Americas LLC 19.22%
3. G1 Execution Services, LLC 14.99%
4. National Financial Services LLC 7.12%
5. Two Sigma Securities, LLC 4.85%
6. New York Stock Exchange 1.80%
7. UBS Securities, LLC 1.70%
8. Cboe EDGX U.S. Equities Exchange 1.48%
9. NASDAQ Execution Services, LLC 1.15%
10. LaSalle Street Securities, Inc. 0.61%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 48.94%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 38.59%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 19.64%
2. VIRTU Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 15.63%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 31.79%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 21.09%
3. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 18.99%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.29%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.82%
4. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 8.66%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.90%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 10.55%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 2 PAGE 19.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2018
5. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 6.06%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.90%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.91%
6. New York Stock 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 7.63%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 5.09%
7. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.83%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 4.56%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.91%
8. 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 6.73%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.82%
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 5.16%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.82%
10. LaSalle Street Securities, Inc.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.81%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 3 PAGE 20.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2018
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 74.57%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 21.48%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 3.95%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. Citadel Securities LLC 42.99%
2. VIRTU Americas LLC 22.01%
3. G1 Execution Services, LLC 12.41%
4. National Financial Services LLC 5.72%
5. Two Sigma Securities, LLC 5.72%
6. NASDAQ Execution Services, LLC 4.80%
7. Cboe EDGX U.S. Equities Exchange 2.48%
8. UBS Securities, LLC 1.11%
9. Credit Suisse Securities (USA) LLC 0.63%
10. Investors Exchange 0.53%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 50.19%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 21.96%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 21.33%
2. VIRTU Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 17.89%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 37.67%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 14.67%
3. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 15.80%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 2.94%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 6.96%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.74%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 9.33%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 4 PAGE 21.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2018
5. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 7.32%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.10%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.67%
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 22.09%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.33%
7. 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 11.41%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.67%
8. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.03%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.74%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 4.67%
9. Credit Suisse Securities (USA) 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 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 16.00%
10. Investors 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 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 13.33%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 5 PAGE 22.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2018
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 79.34%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 19.09%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 1.57%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. Citadel Securities LLC 45.34%
2. VIRTU Americas LLC 21.49%
3. G1 Execution Services, LLC 16.96%
4. Two Sigma Securities, LLC 4.92%
5. UBS Securities, LLC 3.90%
6. NASDAQ Execution Services, LLC 3.50%
7. National Financial Services LLC 1.57%
8. NYSE American 0.91%
9. Cboe EDGX U.S. Equities Exchange 0.75%
10. NYSE Arca 0.39%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 52.88%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 12.37%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 65.00%
2. VIRTU Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 18.20%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 35.26%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 20.00%
3. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 19.94%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 5.77%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.50%
4. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 6.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.41%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 5.00%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 6 PAGE 23.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2018
5. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.84%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 16.70%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.50%
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 18.35%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.98%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
8. NYSE American
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 4.74%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. 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 3.92%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. NYSE Arca
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 2.06%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 7 PAGE 24.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2018
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 38.54%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 60.31%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 1.16%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. Cboe Options Exchange 26.49%
2. NASDAQ Options Market 17.44%
3. NASDAQ PHLX Options 15.22%
4. ISE Gemini Options Exchange 9.34%
5. The MIAX Options Exchange 8.00%
6. NYSE Arca Options 5.30%
7. BOX Option Exchange 4.91%
8. Cboe BZX Options Exchange, Inc. 4.14%
9. NYSE American Options 3.85%
10. Cboe EDGX Option Exchange 2.41%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. Cboe Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 47.25%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 12.46%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 66.67%
2. NASDAQ Options Market
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.50%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 27.96%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
3. NASDAQ PHLX Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 18.50%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 12.94%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 25.00%
4. ISE Gemini Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.50%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 14.54%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 8 PAGE 25.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING DECEMBER 31,2018
5. The MIAX Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 7.50%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 8.47%
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 0.75%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 8.31%
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 8.50%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 2.72%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
8. Cboe BZX Options Exchange, Inc.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.75%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 6.39%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. NYSE American Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 6.75%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.92%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 8.33%
10. Cboe EDGX Option Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.50%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.04%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
*END OF DATA*