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SEC Rule 606

SEC Rule 606 Report - Seaport Securities Corporation - 3rd Qtr, 2018

(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)

Securities Listed on New York Stock Exchange Euronext

Publicly Posted Percentages
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total 100.00 41.64 24.91 33.46
Citadel Securities 29.12 35.42 9.95 35.56
VIRTU Americas LLC 26.15 33.93 14.93 24.81
G1 Execution Services 9.54 13.10 2.99 10.00
Inet ATS, Inc. 8.30 2.68 21.89 5.19
DirectEdge ECN (EDGX) 5.82 0.00 21.39 1.48
Nasdaq Execution Services 4.21 0.89 13.43 1.48
National Financial Servic 3.97 5.36 2.49 3.33
Two Sigma Securities, LLC 3.10 4.17 1.00 3.33
New York Stock Exchange 2.35 0.89 3.48 3.33
SEAP 2.35 0.00 0.00 7.04
BATS Y Exchange 1.73 2.68 1.99 0.37
UBS Securities LLC 1.49 0.60 0.50 3.33
BATS Stock Exchange 1.36 0.00 5.47 0.00
BLKX 0.25 0.00 0.00 0.74
INCI 0.25 0.30 0.50 0.00


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
807 336 201 270 0 41.64 24.91 33.46
235 119 20 96 0 50.64 8.51 40.85
211 114 30 67 0 54.03 14.22 31.75
77 44 6 27 0 57.14 7.79 35.06
67 9 44 14 0 13.43 65.67 20.90
47 0 43 4 0 0.00 91.49 8.51
34 3 27 4 0 8.82 79.41 11.76
32 18 5 9 0 56.25 15.63 28.13
25 14 2 9 0 56.00 8.00 36.00
19 3 7 9 0 15.79 36.84 47.37
19 0 0 19 0 0.00 0.00 100.00
14 9 4 1 0 64.29 28.57 7.14
12 2 1 9 0 16.67 8.33 75.00
11 0 11 0 0 0.00 100.00 0.00
2 0 0 2 0 0.00 0.00 100.00
2 1 1 0 0 50.00 50.00 0.00



100.00% of total customer orders were non-directed orders.

Securities Listed on The Nasdaq Stock Market

Securities Listed on NYSE MKT or other National Securities Exchange

Exchange-Listed Options

Publicly Posted Percentages
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total 100.00 30.33 29.03 40.64
Citadel Securities 30.19 38.28 10.50 38.21
VIRTU Americas LLC 21.63 30.62 8.50 24.29
Nasdaq Execution Services 12.34 0.00 29.00 9.64
National Financial Servic 9.43 13.40 9.50 6.43
DirectEdge ECN (EDGX) 7.40 0.00 22.00 2.50
G1 Execution Services 5.95 10.53 2.00 5.36
Inet ATS, Inc. 5.66 0.48 17.00 1.43
SKNY 2.32 0.00 0.00 5.71
Two Sigma Securities, LLC 2.18 2.87 1.00 2.50
SEAP 1.16 0.00 0.00 2.86
BATS Y Exchange 0.73 1.91 0.00 0.36
BATS Stock Exchange 0.58 1.44 0.50 0.00
UBS Securities LLC 0.44 0.48 0.00 0.71


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
689 209 200 280 0 30.33 29.03 40.64
208 80 21 107 0 38.46 10.10 51.44
149 64 17 68 0 42.95 11.41 45.64
85 0 58 27 0 0.00 68.24 31.76
65 28 19 18 0 43.08 29.23 27.69
51 0 44 7 0 0.00 86.27 13.73
41 22 4 15 0 53.66 9.76 36.59
39 1 34 4 0 2.56 87.18 10.26
16 0 0 16 0 0.00 0.00 100.00
15 6 2 7 0 40.00 13.33 46.67
8 0 0 8 0 0.00 0.00 100.00
5 4 0 1 0 80.00 0.00 20.00
4 3 1 0 0 75.00 25.00 0.00
3 1 0 2 0 33.33 0.00 66.67



100.00% of total customer orders were non-directed orders.

Publicly Posted Percentages
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total 100.00 19.51 60.98 19.51
DirectEdge ECN (EDGX) 26.83 0.00 44.00 0.00
Nasdaq Execution Services 17.07 0.00 28.00 0.00
Citadel Securities 14.63 50.00 0.00 25.00
Inet ATS, Inc. 14.63 0.00 24.00 0.00
VIRTU Americas LLC 9.76 12.50 4.00 25.00
G1 Execution Services 4.88 12.50 0.00 12.50
National Financial Servic 4.88 12.50 0.00 12.50
SEAP 4.88 0.00 0.00 25.00
Two Sigma Securities, LLC 2.44 12.50 0.00 0.00


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
41 8 25 8 0 19.51 60.98 19.51
11 0 11 0 0 0.00 100.00 0.00
7 0 7 0 0 0.00 100.00 0.00
6 4 0 2 0 66.67 0.00 33.33
6 0 6 0 0 0.00 100.00 0.00
4 1 1 2 0 25.00 25.00 50.00
2 1 0 1 0 50.00 0.00 50.00
2 1 0 1 0 50.00 0.00 50.00
2 0 0 2 0 0.00 0.00 100.00
1 1 0 0 0 100.00 0.00 0.00



100.00% of total customer orders were non-directed orders.

Publicly Posted Percentages
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total 100.00 0.00 98.63 1.37
Archipelago LLC 16.44 0.00 16.67 0.00
ISEG 16.44 0.00 15.28 100.00
Nasdaq Option Market 16.44 0.00 16.67 0.00
Morgan Stanley & Co 12.33 0.00 12.50 0.00
CITI 9.59 0.00 9.72 0.00
Citadel Securities 8.22 0.00 8.33 0.00
National Financial Servic 6.85 0.00 6.94 0.00
Philadelphia Exch 5.48 0.00 5.56 0.00
Chicago Board Options Exchange 2.74 0.00 2.78 0.00
NYSE MKT 1.37 0.00 1.39 0.00
BATS Stock Exchange 1.37 0.00 1.39 0.00
DirectEdge ECN (EDGX) 1.37 0.00 1.39 0.00
Susquehanna Capital Group 1.37 0.00 1.39 0.00


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
73 0 72 1 0 0.00 98.63 1.37
12 0 12 0 0 0.00 100.00 0.00
12 0 11 1 0 0.00 91.67 8.33
12 0 12 0 0 0.00 100.00 0.00
9 0 9 0 0 0.00 100.00 0.00
7 0 7 0 0 0.00 100.00 0.00
6 0 6 0 0 0.00 100.00 0.00
5 0 5 0 0 0.00 100.00 0.00
4 0 4 0 0 0.00 100.00 0.00
2 0 2 0 0 0.00 100.00 0.00
1 0 1 0 0 0.00 100.00 0.00
1 0 1 0 0 0.00 100.00 0.00
1 0 1 0 0 0.00 100.00 0.00
1 0 1 0 0 0.00 100.00 0.00



100.00% of total customer orders were non-directed orders.

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