TKG - The Karn Group SEC Rule 606 Order Routing Disclosure
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Cetera Investment Services LLC - Held NMS Stocks and Options Order Routing Public Report

Generated on Wed Oct 05 2022 15:34:15 EDT-0400 (Eastern Daylight Time)

3rd Quarter, 2022

July 2022


S&P 500 Stocks

Summary

Non-Directed Orders as % of All Orders Market Orders as % of Non-Directed Orders Marketable Limit Orders as % of Non-Directed Orders Non-Marketable Limit Orders as % of Non-Directed Orders Other Orders as % of Non-Directed Orders
100.00 72.18 0.21 15.16 12.45

Venues

Venue - Non-directed Order Flow Non-Directed Orders (%) Market Orders (%) Marketable Limit Orders (%) Non-Marketable Limit Orders (%) Other Orders (%) Net Payment Paid/Received for Market Orders(USD) Net Payment Paid/Received for Market Orders(cents per hundred shares) Net Payment Paid/Received for Marketable Limit Orders(USD) Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Non-Marketable Limit Orders(USD) Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Other Orders(USD) Net Payment Paid/Received for Other Orders(cents per hundred shares)
Citadel Securities (CDRG) 43.86 25.28 47.50 91.10 93.99 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Virtu Americas, LLC (NITE) 37.58 49.81 42.50 6.02 5.04 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 14.96 20.13 5.00 2.29 0.55 0 0.0000 0 0.0000 0 0.0000 0 0.0000
INTL FCStone Securities Inc (INTL) 3.60 4.78 5.00 0.59 0.42 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

INTL FCStone Securities Inc (INTL):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf

July 2022


Non-S&P 500 Stocks

Summary

Non-Directed Orders as % of All Orders Market Orders as % of Non-Directed Orders Marketable Limit Orders as % of Non-Directed Orders Non-Marketable Limit Orders as % of Non-Directed Orders Other Orders as % of Non-Directed Orders
100.00 91.07 0.48 6.75 1.71

Venues

Venue - Non-directed Order Flow Non-Directed Orders (%) Market Orders (%) Marketable Limit Orders (%) Non-Marketable Limit Orders (%) Other Orders (%) Net Payment Paid/Received for Market Orders(USD) Net Payment Paid/Received for Market Orders(cents per hundred shares) Net Payment Paid/Received for Marketable Limit Orders(USD) Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Non-Marketable Limit Orders(USD) Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Other Orders(USD) Net Payment Paid/Received for Other Orders(cents per hundred shares)
Virtu Americas, LLC (NITE) 68.37 71.63 91.33 27.32 50.56 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Citadel Securities (CDRG) 27.66 24.34 4.67 69.32 46.82 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 3.42 3.57 3.33 1.85 1.87 0 0.0000 0 0.0000 0 0.0000 0 0.0000
INTL FCStone Securities Inc (INTL) 0.54 0.47 0.67 1.52 0.75 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

INTL FCStone Securities Inc (INTL):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf

July 2022


Option Contracts

Summary

Non-Directed Orders as % of All Orders Market Orders as % of Non-Directed Orders Marketable Limit Orders as % of Non-Directed Orders Non-Marketable Limit Orders as % of Non-Directed Orders Other Orders as % of Non-Directed Orders
100.00 74.70 4.10 21.20 0.00

Venues

Venue - Non-directed Order Flow Non-Directed Orders (%) Market Orders (%) Marketable Limit Orders (%) Non-Marketable Limit Orders (%) Other Orders (%) Net Payment Paid/Received for Market Orders(USD) Net Payment Paid/Received for Market Orders(cents per hundred shares) Net Payment Paid/Received for Marketable Limit Orders(USD) Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Non-Marketable Limit Orders(USD) Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Other Orders(USD) Net Payment Paid/Received for Other Orders(cents per hundred shares)
Citadel Securities LLC (CITL) 47.18 46.45 58.33 47.58 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Susquehanna International Group, LLP (SUSQ) 28.89 29.29 20.83 29.03 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Wolverine Execution Svc. (WEXX) 21.88 23.34 20.83 16.94 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
DASH Financial Option ATS (LPOX) 1.37 0.00 0.00 6.45 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Matrix Executions, LLC (MTRX) 0.68 0.92 0.00 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Susquehanna International Group, LLP (SUSQ):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf
Wolverine Execution Svc. (WEXX):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf
DASH Financial Option ATS (LPOX):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf

August 2022


S&P 500 Stocks

Summary

Non-Directed Orders as % of All Orders Market Orders as % of Non-Directed Orders Marketable Limit Orders as % of Non-Directed Orders Non-Marketable Limit Orders as % of Non-Directed Orders Other Orders as % of Non-Directed Orders
100.00 75.97 0.25 13.13 10.65

Venues

Venue - Non-directed Order Flow Non-Directed Orders (%) Market Orders (%) Marketable Limit Orders (%) Non-Marketable Limit Orders (%) Other Orders (%) Net Payment Paid/Received for Market Orders(USD) Net Payment Paid/Received for Market Orders(cents per hundred shares) Net Payment Paid/Received for Marketable Limit Orders(USD) Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Non-Marketable Limit Orders(USD) Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Other Orders(USD) Net Payment Paid/Received for Other Orders(cents per hundred shares)
Citadel Securities (CDRG) 43.06 27.20 44.78 94.53 92.64 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Virtu Americas, LLC (NITE) 37.89 48.34 32.84 4.03 5.21 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 14.51 18.75 14.93 0.79 1.22 0 0.0000 0 0.0000 0 0.0000 0 0.0000
INTL FCStone Securities Inc (INTL) 4.54 5.71 7.46 0.65 0.94 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

INTL FCStone Securities Inc (INTL):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf

August 2022


Non-S&P 500 Stocks

Summary

Non-Directed Orders as % of All Orders Market Orders as % of Non-Directed Orders Marketable Limit Orders as % of Non-Directed Orders Non-Marketable Limit Orders as % of Non-Directed Orders Other Orders as % of Non-Directed Orders
100.00 89.74 0.52 7.74 2.00

Venues

Venue - Non-directed Order Flow Non-Directed Orders (%) Market Orders (%) Marketable Limit Orders (%) Non-Marketable Limit Orders (%) Other Orders (%) Net Payment Paid/Received for Market Orders(USD) Net Payment Paid/Received for Market Orders(cents per hundred shares) Net Payment Paid/Received for Marketable Limit Orders(USD) Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Non-Marketable Limit Orders(USD) Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Other Orders(USD) Net Payment Paid/Received for Other Orders(cents per hundred shares)
Virtu Americas, LLC (NITE) 66.76 70.24 95.34 31.57 39.41 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Citadel Securities (CDRG) 29.19 25.39 2.07 67.26 59.38 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 3.53 3.84 2.07 0.69 1.07 0 0.0000 0 0.0000 0 0.0000 0 0.0000
INTL FCStone Securities Inc (INTL) 0.51 0.53 0.52 0.49 0.13 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

INTL FCStone Securities Inc (INTL):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf

August 2022


Option Contracts

Summary

Non-Directed Orders as % of All Orders Market Orders as % of Non-Directed Orders Marketable Limit Orders as % of Non-Directed Orders Non-Marketable Limit Orders as % of Non-Directed Orders Other Orders as % of Non-Directed Orders
100.00 73.59 4.33 21.50 0.58

Venues

Venue - Non-directed Order Flow Non-Directed Orders (%) Market Orders (%) Marketable Limit Orders (%) Non-Marketable Limit Orders (%) Other Orders (%) Net Payment Paid/Received for Market Orders(USD) Net Payment Paid/Received for Market Orders(cents per hundred shares) Net Payment Paid/Received for Marketable Limit Orders(USD) Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Non-Marketable Limit Orders(USD) Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Other Orders(USD) Net Payment Paid/Received for Other Orders(cents per hundred shares)
Citadel Securities LLC (CITL) 43.58 45.49 30.00 40.27 25.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Susquehanna International Group, LLP (SUSQ) 33.62 34.31 26.67 31.54 75.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Wolverine Execution Svc. (WEXX) 18.33 19.80 23.33 12.75 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
DASH Financial Option ATS (LPOX) 4.18 0.20 20.00 14.77 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Matrix Executions, LLC (MTRX) 0.29 0.20 0.00 0.67 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Susquehanna International Group, LLP (SUSQ):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf
Wolverine Execution Svc. (WEXX):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf
DASH Financial Option ATS (LPOX):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf

September 2022


S&P 500 Stocks

Summary

Non-Directed Orders as % of All Orders Market Orders as % of Non-Directed Orders Marketable Limit Orders as % of Non-Directed Orders Non-Marketable Limit Orders as % of Non-Directed Orders Other Orders as % of Non-Directed Orders
100.00 85.54 0.19 8.41 5.87

Venues

Venue - Non-directed Order Flow Non-Directed Orders (%) Market Orders (%) Marketable Limit Orders (%) Non-Marketable Limit Orders (%) Other Orders (%) Net Payment Paid/Received for Market Orders(USD) Net Payment Paid/Received for Market Orders(cents per hundred shares) Net Payment Paid/Received for Marketable Limit Orders(USD) Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Non-Marketable Limit Orders(USD) Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Other Orders(USD) Net Payment Paid/Received for Other Orders(cents per hundred shares)
Virtu Americas, LLC (NITE) 45.96 52.59 24.14 7.07 5.85 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Citadel Securities (CDRG) 31.08 21.06 51.72 90.05 91.93 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 17.71 20.38 15.52 2.29 1.06 0 0.0000 0 0.0000 0 0.0000 0 0.0000
INTL FCStone Securities Inc (INTL) 5.24 5.97 8.62 0.58 1.17 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

INTL FCStone Securities Inc (INTL):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf

September 2022


Non-S&P 500 Stocks

Summary

Non-Directed Orders as % of All Orders Market Orders as % of Non-Directed Orders Marketable Limit Orders as % of Non-Directed Orders Non-Marketable Limit Orders as % of Non-Directed Orders Other Orders as % of Non-Directed Orders
100.00 92.83 0.31 5.56 1.29

Venues

Venue - Non-directed Order Flow Non-Directed Orders (%) Market Orders (%) Marketable Limit Orders (%) Non-Marketable Limit Orders (%) Other Orders (%) Net Payment Paid/Received for Market Orders(USD) Net Payment Paid/Received for Market Orders(cents per hundred shares) Net Payment Paid/Received for Marketable Limit Orders(USD) Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Non-Marketable Limit Orders(USD) Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Other Orders(USD) Net Payment Paid/Received for Other Orders(cents per hundred shares)
Virtu Americas, LLC (NITE) 72.06 74.87 83.04 29.90 48.82 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Citadel Securities (CDRG) 23.04 20.08 6.25 67.41 48.82 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 4.24 4.39 7.14 2.24 1.50 0 0.0000 0 0.0000 0 0.0000 0 0.0000
INTL FCStone Securities Inc (INTL) 0.66 0.66 3.57 0.45 0.86 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

INTL FCStone Securities Inc (INTL):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf

September 2022


Option Contracts

Summary

Non-Directed Orders as % of All Orders Market Orders as % of Non-Directed Orders Marketable Limit Orders as % of Non-Directed Orders Non-Marketable Limit Orders as % of Non-Directed Orders Other Orders as % of Non-Directed Orders
100.00 69.62 6.96 23.42 0.00

Venues

Venue - Non-directed Order Flow Non-Directed Orders (%) Market Orders (%) Marketable Limit Orders (%) Non-Marketable Limit Orders (%) Other Orders (%) Net Payment Paid/Received for Market Orders(USD) Net Payment Paid/Received for Market Orders(cents per hundred shares) Net Payment Paid/Received for Marketable Limit Orders(USD) Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Non-Marketable Limit Orders(USD) Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares) Net Payment Paid/Received for Other Orders(USD) Net Payment Paid/Received for Other Orders(cents per hundred shares)
Citadel Securities LLC (CITL) 44.78 46.59 34.09 42.57 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Susquehanna International Group, LLP (SUSQ) 32.75 33.18 38.64 29.73 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Wolverine Execution Svc. (WEXX) 18.83 19.55 9.09 19.59 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
DASH Financial Option ATS (LPOX) 3.16 0.00 18.18 8.11 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Matrix Executions, LLC (MTRX) 0.47 0.68 0.00 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Susquehanna International Group, LLP (SUSQ):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf
Wolverine Execution Svc. (WEXX):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf
DASH Financial Option ATS (LPOX):
CIS Rule 606 Material Aspects Disclosure 2020 Q1.pdf

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