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 Jan 25 2023 15:25:39 EST-0500 (Eastern Daylight Time)

4th Quarter, 2022

October 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 82.17 0.26 10.03 7.53

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) 39.46 47.10 30.00 3.86 3.85 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Citadel Securities (CDRG) 39.11 27.19 57.14 94.45 94.71 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 16.83 20.24 10.00 1.13 0.80 0 0.0000 0 0.0000 0 0.0000 0 0.0000
StoneX Financial Inc (INTL) 4.61 5.47 2.86 0.56 0.65 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:


October 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 93.20 0.37 5.31 1.13

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) 64.60 66.84 83.97 28.48 43.03 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Citadel Securities (CDRG) 30.86 28.45 6.87 69.62 54.98 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 3.75 3.89 4.58 1.64 1.24 0 0.0000 0 0.0000 0 0.0000 0 0.0000
StoneX Financial Inc (INTL) 0.79 0.81 4.58 0.26 0.75 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:


October 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 80.26 2.93 16.82 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) 47.35 47.38 31.25 50.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Susquehanna International Group, LLP (SUSQ) 29.25 29.61 25.00 28.26 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Wolverine Execution Svc. (WEXX) 21.02 22.78 18.75 13.04 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
DASH Financial Option ATS (LPOX) 2.19 0.23 25.00 7.61 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Matrix Executions, LLC (MTRX) 0.18 0.00 0.00 1.09 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

November 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 80.63 0.33 9.97 9.07

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) 39.69 27.28 33.33 90.69 94.10 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Virtu Americas, LLC (NITE) 38.92 46.97 37.18 5.87 3.82 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 16.16 19.51 19.23 2.68 1.06 0 0.0000 0 0.0000 0 0.0000 0 0.0000
StoneX Financial Inc (INTL) 5.23 6.24 10.26 0.75 1.01 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:


November 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 91.56 0.34 5.96 2.15

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) 64.04 66.23 89.34 32.54 54.13 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Citadel Securities (CDRG) 31.65 29.22 4.10 66.29 43.54 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 3.65 3.88 5.74 0.79 1.68 0 0.0000 0 0.0000 0 0.0000 0 0.0000
StoneX Financial Inc (INTL) 0.65 0.67 0.82 0.37 0.65 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:


November 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 84.30 3.24 12.29 0.17

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) 46.59 47.37 36.84 43.06 100.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Susquehanna International Group, LLP (SUSQ) 30.03 30.97 21.05 26.39 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Wolverine Execution Svc. (WEXX) 20.82 21.66 26.32 13.89 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
DASH Financial Option ATS (LPOX) 2.56 0.00 15.79 16.67 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

December 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 80.69 0.32 10.07 8.92

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) 40.92 28.83 32.53 91.63 93.39 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Virtu Americas, LLC (NITE) 36.60 44.13 44.58 4.56 4.34 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 15.51 18.86 14.46 1.56 0.99 0 0.0000 0 0.0000 0 0.0000 0 0.0000
StoneX Financial Inc (INTL) 6.97 8.18 8.43 2.24 1.29 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:


December 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 92.71 0.40 5.58 1.31

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) 65.91 67.97 76.88 35.87 44.78 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Citadel Securities (CDRG) 29.88 27.67 18.75 62.53 50.85 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 3.32 3.45 3.75 1.16 3.23 0 0.0000 0 0.0000 0 0.0000 0 0.0000
StoneX Financial Inc (INTL) 0.89 0.91 0.63 0.45 1.14 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:


December 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 79.03 4.31 16.67 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) 45.32 48.58 39.13 31.46 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Susquehanna International Group, LLP (SUSQ) 28.65 27.01 34.78 34.83 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Wolverine Execution Svc. (WEXX) 23.60 24.17 8.70 24.72 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
DASH Financial Option ATS (LPOX) 2.43 0.24 17.39 8.99 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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