TKG - The Karn Group SEC Rule 606 Order Routing Disclosure
PDF XML

First Allied Securities, Inc - Held NMS Stocks and Options Order Routing Public Report

Generated on Wed Oct 05 2022 15:45:37 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 94.60 0.95 3.48 0.97

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) 33.93 34.19 30.68 31.99 18.89 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Virtu Americas, LLC (NITE) 13.83 13.74 11.36 13.98 24.44 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Two Sigma Securities (SOHO) 13.79 13.55 14.77 16.77 25.56 0 0.0000 0 0.0000 0 0.0000 0 0.0000
G1 Execution Services, LLC (ETMM) 13.12 13.23 10.23 9.94 16.67 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 12.92 12.81 15.91 16.15 10.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Jane Street Capital, LLC (JNST) 12.41 12.49 17.05 11.18 4.44 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Citadel Securities (CDRG):
FA Material Aspects Disclosure Q2 2021.pdf
Virtu Americas, LLC (NITE):
FA Material Aspects Disclosure Q2 2021.pdf
Two Sigma Securities (SOHO):
FA Material Aspects Disclosure Q2 2021.pdf
G1 Execution Services, LLC (ETMM):
FA Material Aspects Disclosure Q2 2021.pdf
UBS Securities LLC (UBSS):
FA Material Aspects Disclosure Q2 2021.pdf
Jane Street Capital, LLC (JNST):
FA Material Aspects Disclosure Q2 2021.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 93.68 0.81 3.13 2.38

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) 34.52 34.70 23.81 28.69 39.07 0 0.0000 0 0.0000 0 0.0000 0 0.0000
G1 Execution Services, LLC (ETMM) 16.81 17.24 19.05 12.70 4.48 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Virtu Americas, LLC (NITE) 16.36 16.01 22.22 21.45 21.15 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Two Sigma Securities (SOHO) 14.78 14.66 15.87 16.53 16.49 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 10.48 10.14 16.93 16.12 14.52 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Jane Street Capital, LLC (JNST) 7.05 7.25 2.12 4.51 4.30 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Citadel Securities (CDRG):
FA Material Aspects Disclosure Q2 2021.pdf
G1 Execution Services, LLC (ETMM):
FA Material Aspects Disclosure Q2 2021.pdf
Virtu Americas, LLC (NITE):
FA Material Aspects Disclosure Q2 2021.pdf
Two Sigma Securities (SOHO):
FA Material Aspects Disclosure Q2 2021.pdf
UBS Securities LLC (UBSS):
FA Material Aspects Disclosure Q2 2021.pdf
Jane Street Capital, LLC (JNST):
FA Material Aspects Disclosure Q2 2021.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 45.66 8.43 32.06 13.84

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) 44.95 49.83 36.79 37.47 51.15 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Susquehanna International Group, LLP (SUSQ) 29.04 26.48 18.87 32.51 35.63 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Wolverine Execution Svc. (WEXX) 19.89 20.91 36.79 16.87 13.22 0 0.0000 0 0.0000 0 0.0000 0 0.0000
DASH Financial Option ATS (LPOX) 4.77 0.17 7.55 12.66 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Matrix Executions, LLC (MTRX) 1.35 2.61 0.00 0.50 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Citadel Securities LLC (CITL):
FA Material Aspects Disclosure Q2 2021.pdf
Susquehanna International Group, LLP (SUSQ):
FA Material Aspects Disclosure Q2 2021.pdf
Wolverine Execution Svc. (WEXX):
FA Material Aspects Disclosure Q2 2021.pdf
DASH Financial Option ATS (LPOX):
FA Material Aspects Disclosure Q2 2021.pdf
Matrix Executions, LLC (MTRX):
FA Material Aspects Disclosure Q2 2021.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 93.62 1.17 4.11 1.09

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) 33.78 34.08 26.23 33.41 17.54 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Virtu Americas, LLC (NITE) 14.04 13.72 19.67 19.63 14.04 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Two Sigma Securities (SOHO) 13.84 13.57 13.93 14.25 35.09 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Jane Street Capital, LLC (JNST) 12.95 13.16 11.48 10.75 4.39 0 0.0000 0 0.0000 0 0.0000 0 0.0000
G1 Execution Services, LLC (ETMM) 12.93 12.99 15.57 8.88 20.18 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 12.47 12.48 13.11 13.08 8.77 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Citadel Securities (CDRG):
FA Material Aspects Disclosure Q2 2021.pdf
Virtu Americas, LLC (NITE):
FA Material Aspects Disclosure Q2 2021.pdf
Two Sigma Securities (SOHO):
FA Material Aspects Disclosure Q2 2021.pdf
Jane Street Capital, LLC (JNST):
FA Material Aspects Disclosure Q2 2021.pdf
G1 Execution Services, LLC (ETMM):
FA Material Aspects Disclosure Q2 2021.pdf
UBS Securities LLC (UBSS):
FA Material Aspects Disclosure Q2 2021.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 92.34 1.26 3.53 2.87

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)
Citadel Securities (CDRG) 33.87 34.17 27.95 28.83 32.99 0 0.0000 0 0.0000 0 0.0000 0 0.0000
G1 Execution Services, LLC (ETMM) 17.85 18.23 21.55 16.41 5.92 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Virtu Americas, LLC (NITE) 16.44 15.97 17.17 22.20 24.26 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Two Sigma Securities (SOHO) 14.61 14.60 13.13 13.63 17.01 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 10.87 10.43 16.16 15.80 16.72 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Jane Street Capital, LLC (JNST) 6.35 6.60 4.04 3.14 3.11 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Citadel Securities (CDRG):
FA Material Aspects Disclosure Q2 2021.pdf
G1 Execution Services, LLC (ETMM):
FA Material Aspects Disclosure Q2 2021.pdf
Virtu Americas, LLC (NITE):
FA Material Aspects Disclosure Q2 2021.pdf
Two Sigma Securities (SOHO):
FA Material Aspects Disclosure Q2 2021.pdf
UBS Securities LLC (UBSS):
FA Material Aspects Disclosure Q2 2021.pdf
Jane Street Capital, LLC (JNST):
FA Material Aspects Disclosure Q2 2021.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 46.75 7.52 34.65 11.09

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) 43.26 48.82 32.93 39.68 38.02 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Susquehanna International Group, LLP (SUSQ) 27.77 22.75 26.83 31.48 38.02 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Wolverine Execution Svc. (WEXX) 22.09 26.67 21.95 15.34 23.97 0 0.0000 0 0.0000 0 0.0000 0 0.0000
DASH Financial Option ATS (LPOX) 5.77 0.20 15.85 12.96 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Matrix Executions, LLC (MTRX) 1.10 1.57 2.44 0.53 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Citadel Securities LLC (CITL):
FA Material Aspects Disclosure Q2 2021.pdf
Susquehanna International Group, LLP (SUSQ):
FA Material Aspects Disclosure Q2 2021.pdf
Wolverine Execution Svc. (WEXX):
FA Material Aspects Disclosure Q2 2021.pdf
DASH Financial Option ATS (LPOX):
FA Material Aspects Disclosure Q2 2021.pdf
Matrix Executions, LLC (MTRX):
FA Material Aspects Disclosure Q2 2021.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 95.30 0.86 2.72 1.12

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) 33.66 33.95 26.09 35.62 10.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Virtu Americas, LLC (NITE) 14.14 14.02 4.35 12.33 36.67 0 0.0000 0 0.0000 0 0.0000 0 0.0000
G1 Execution Services, LLC (ETMM) 13.84 13.98 13.04 12.33 6.67 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Two Sigma Securities (SOHO) 13.21 12.96 17.39 12.33 33.33 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 12.95 13.08 17.39 9.59 6.67 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Jane Street Capital, LLC (JNST) 12.20 12.02 21.74 17.81 6.67 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Citadel Securities (CDRG):
FA Material Aspects Disclosure Q2 2021.pdf
Virtu Americas, LLC (NITE):
FA Material Aspects Disclosure Q2 2021.pdf
G1 Execution Services, LLC (ETMM):
FA Material Aspects Disclosure Q2 2021.pdf
Two Sigma Securities (SOHO):
FA Material Aspects Disclosure Q2 2021.pdf
UBS Securities LLC (UBSS):
FA Material Aspects Disclosure Q2 2021.pdf
Jane Street Capital, LLC (JNST):
FA Material Aspects Disclosure Q2 2021.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 94.56 0.76 2.95 1.73

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) 33.59 34.04 22.86 24.26 30.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
G1 Execution Services, LLC (ETMM) 18.34 18.68 20.00 14.71 5.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Virtu Americas, LLC (NITE) 16.04 15.56 25.71 22.79 26.25 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Two Sigma Securities (SOHO) 15.02 14.69 14.29 16.91 30.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
UBS Securities LLC (UBSS) 10.64 10.43 14.29 17.65 8.75 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Jane Street Capital, LLC (JNST) 6.37 6.60 2.86 3.68 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Citadel Securities (CDRG):
FA Material Aspects Disclosure Q2 2021.pdf
G1 Execution Services, LLC (ETMM):
FA Material Aspects Disclosure Q2 2021.pdf
Virtu Americas, LLC (NITE):
FA Material Aspects Disclosure Q2 2021.pdf
Two Sigma Securities (SOHO):
FA Material Aspects Disclosure Q2 2021.pdf
UBS Securities LLC (UBSS):
FA Material Aspects Disclosure Q2 2021.pdf
Jane Street Capital, LLC (JNST):
FA Material Aspects Disclosure Q2 2021.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 50.38 10.31 37.02 2.29

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)
Citadel Securities LLC (CITL) 40.84 42.42 37.04 36.08 100.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Susquehanna International Group, LLP (SUSQ) 26.72 23.48 22.22 34.02 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Wolverine Execution Svc. (WEXX) 22.52 28.03 18.52 17.53 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
DASH Financial Option ATS (LPOX) 6.87 0.00 22.22 12.37 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000
Matrix Executions, LLC (MTRX) 3.05 6.06 0.00 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000

Material Aspects:

Citadel Securities LLC (CITL):
FA Material Aspects Disclosure Q2 2021.pdf
Susquehanna International Group, LLP (SUSQ):
FA Material Aspects Disclosure Q2 2021.pdf
Wolverine Execution Svc. (WEXX):
FA Material Aspects Disclosure Q2 2021.pdf
DASH Financial Option ATS (LPOX):
FA Material Aspects Disclosure Q2 2021.pdf
Matrix Executions, LLC (MTRX):
FA Material Aspects Disclosure Q2 2021.pdf
We have detected that you may be using an outdated browser that is not fully compatible with our website.