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 SEPTEMBER 30,2019
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 76.30%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 20.21%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 3.49%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. Citadel Securities LLC 47.01%
2. VIRTU Americas LLC 27.66%
3. G1 Execution Services, LLC 8.34%
4. National Financial Services LLC 6.90%
5. UBS Securities, LLC 2.30%
6. New York Stock Exchange 1.86%
7. Two Sigma Securities, LLC 1.81%
8. Cboe EDGX U.S. Equities Exchange 1.17%
9. LaSalle Street Securities, Inc. 1.03%
10. NASDAQ Execution Services, LLC 0.67%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 50.20%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 39.49%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 20.81%
2. VIRTU Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 25.52%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 35.99%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 26.40%
3. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 10.53%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.40%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.51%
4. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 8.37%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.05%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 8.63%
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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 SEPTEMBER 30,2019
5. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.79%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.59%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 6.09%
6. New York Stock Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.02%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 9.02%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.51%
7. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.20%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.18%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.54%
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 5.69%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.51%
9. LaSalle Street Securities, Inc.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.35%
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 2.89%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.54%
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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 SEPTEMBER 30,2019
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 77.11%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 19.20%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 3.69%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. Citadel Securities LLC 47.91%
2. VIRTU Americas LLC 27.28%
3. G1 Execution Services, LLC 8.44%
4. National Financial Services LLC 5.29%
5. NASDAQ Execution Services, LLC 3.05%
6. Cboe EDGX U.S. Equities Exchange 2.82%
7. UBS Securities, LLC 2.04%
8. Two Sigma Securities, LLC 1.37%
9. Credit Suisse Securities (USA) LLC 0.49%
10. Investors Exchange 0.38%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 53.68%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 26.06%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 40.94%
2. VIRTU Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 25.91%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 36.67%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 7.09%
3. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 10.64%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.21%
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 6.11%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.06%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 10.24%
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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 SEPTEMBER 30,2019
5. 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 15.91%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. 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 14.55%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.79%
7. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.66%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.79%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.79%
8. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.74%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.15%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
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 13.39%
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 10.24%
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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 SEPTEMBER 30,2019
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 83.14%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 16.57%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 0.29%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. Citadel Securities LLC 47.83%
2. VIRTU Americas LLC 31.94%
3. G1 Execution Services, LLC 10.07%
4. UBS Securities, LLC 3.66%
5. National Financial Services LLC 2.07%
6. Two Sigma Securities, LLC 1.93%
7. Cboe EDGX U.S. Equities Exchange 0.87%
8. NYSE Arca 0.63%
9. NYSE American 0.43%
10. NASDAQ Execution Services, LLC 0.43%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 54.35%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 14.83%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 66.67%
2. VIRTU Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 26.88%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 57.27%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 33.33%
3. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 11.76%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.74%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.43%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 9.88%
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 SEPTEMBER 30,2019
5. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.32%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.87%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.20%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.58%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
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 5.23%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
8. 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 3.78%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. 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 2.62%
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 2.62%
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 SEPTEMBER 30,2019
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 28.98%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 69.80%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 1.22%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. Cboe Options Exchange 22.23%
2. NASDAQ PHLX Options 16.92%
3. NASDAQ Options Market 13.50%
4. NYSE Arca Options 10.84%
5. Cboe EDGX Option Exchange 9.07%
6. ISE Gemini Options Exchange 6.75%
7. NYSE American Options 4.20%
8. Cboe BZX Options Exchange, Inc. 4.20%
9. The MIAX Options Exchange 3.98%
10. BOX Option Exchange 3.65%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. Cboe Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 45.42%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 12.52%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 27.27%
2. NASDAQ PHLX Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 23.28%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 13.47%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 63.64%
3. NASDAQ Options Market
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.76%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 19.02%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. NYSE Arca Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.76%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 15.21%
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 SEPTEMBER 30,2019
5. Cboe EDGX Option Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.38%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 12.84%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. ISE Gemini Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.53%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 9.03%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. NYSE American Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 9.16%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 2.06%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 9.09%
8. Cboe BZX Options Exchange, Inc.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.91%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 5.23%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. The MIAX Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 6.11%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.17%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. BOX Option Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 7.25%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 2.22%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
*END OF DATA*