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SEC Rule 606

SEC Rule 606 Report - Seaport Securities Corporation - 4th Qtr, 2017

(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 46.34 22.58 31.08
VIRTU Americas LLC 28.28 43.39 10.95 18.34
Citadel Securities 25.38 35.27 8.10 23.18
New York Stock Exch 13.44 0.00 7.62 37.72
DirectEdge ECN (EDGX) 8.71 0.00 36.19 1.73
Two Sigma Securities, LLC 4.95 6.73 3.33 3.46
Nasdaq Execution Services 3.87 0.00 16.19 0.69
Inet ATS, Inc. 3.12 0.00 12.86 0.69
Instinet Corp 2.58 5.34 0.48 0.00
G1 Execution Services 2.47 3.94 0.48 1.73
VIRTU Americas LLC 2.37 0.00 0.00 7.61
BNY MELLON CAPITAL MARKET 1.61 1.86 0.95 1.73
BATS Y Exchange 1.40 2.78 0.00 0.35
UBS Securities LLC 0.75 0.70 0.00 1.38
BATS Stock Exchange 0.65 0.00 2.86 0.00
SEAP 0.32 0.00 0.00 1.04
BLKX 0.11 0.00 0.00 0.35


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
930 431 210 289 0 46.34 22.58 31.08
263 187 23 53 0 71.10 8.75 20.15
236 152 17 67 0 64.41 7.20 28.39
125 0 16 109 0 0.00 12.80 87.20
81 0 76 5 0 0.00 93.83 6.17
46 29 7 10 0 63.04 15.22 21.74
36 0 34 2 0 0.00 94.44 5.56
29 0 27 2 0 0.00 93.10 6.90
24 23 1 0 0 95.83 4.17 0.00
23 17 1 5 0 73.91 4.35 21.74
22 0 0 22 0 0.00 0.00 100.00
15 8 2 5 0 53.33 13.33 33.33
13 12 0 1 0 92.31 0.00 7.69
7 3 0 4 0 42.86 0.00 57.14
6 0 6 0 0 0.00 100.00 0.00
3 0 0 3 0 0.00 0.00 100.00
1 0 0 1 0 0.00 0.00 100.00



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 36.04 16.56 47.39
Citadel Securities 30.52 40.85 10.19 29.77
VIRTU Americas LLC 27.45 41.28 4.63 24.92
Nasdaq Execution Services 16.41 0.00 12.04 30.42
DirectEdge ECN (EDGX) 10.43 0.00 59.26 1.29
Two Sigma Securities, LLC 4.14 6.81 0.00 3.56
G1 Execution Services 2.30 2.98 0.00 2.59
Instinet Corp 1.99 5.11 0.93 0.00
Inet ATS, Inc. 1.84 0.00 9.26 0.65
SKNY 1.53 0.00 0.00 3.24
SEAP 0.92 0.00 0.00 1.94
BATS Stock Exchange 0.61 0.00 2.78 0.32
BATS Y Exchange 0.61 1.70 0.00 0.00
UBS Securities LLC 0.61 0.43 0.00 0.97
BNY MELLON CAPITAL MARKET 0.46 0.85 0.00 0.32
National Financial Servic 0.15 0.00 0.93 0.00


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
652 235 108 309 0 36.04 16.56 47.39
199 96 11 92 0 48.24 5.53 46.23
179 97 5 77 0 54.19 2.79 43.02
107 0 13 94 0 0.00 12.15 87.85
68 0 64 4 0 0.00 94.12 5.88
27 16 0 11 0 59.26 0.00 40.74
15 7 0 8 0 46.67 0.00 53.33
13 12 1 0 0 92.31 7.69 0.00
12 0 10 2 0 0.00 83.33 16.67
10 0 0 10 0 0.00 0.00 100.00
6 0 0 6 0 0.00 0.00 100.00
4 0 3 1 0 0.00 75.00 25.00
4 4 0 0 0 100.00 0.00 0.00
4 1 0 3 0 25.00 0.00 75.00
3 2 0 1 0 66.67 0.00 33.33
1 0 1 0 0 0.00 100.00 0.00



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

Publicly Posted Percentages
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total 100.00 61.54 17.95 20.51
VIRTU Americas LLC 39.32 45.83 23.81 33.33
Citadel Securities 30.77 36.11 9.52 33.33
Two Sigma Securities, LLC 7.69 5.56 0.00 20.83
DirectEdge ECN (EDGX) 6.84 0.00 38.10 0.00
BATS Y Exchange 4.27 6.94 0.00 0.00
National Financial Servic 3.42 1.39 14.29 0.00
BNY MELLON CAPITAL MARKET 1.71 1.39 0.00 4.17
G1 Execution Services 1.71 1.39 0.00 4.17
NYSE MKT 0.85 0.00 4.76 0.00
BLKX 0.85 1.39 0.00 0.00
Inet ATS, Inc. 0.85 0.00 4.76 0.00
Nasdaq Execution Services 0.85 0.00 4.76 0.00
SEAP 0.85 0.00 0.00 4.17


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
117 72 21 24 0 61.54 17.95 20.51
46 33 5 8 0 71.74 10.87 17.39
36 26 2 8 0 72.22 5.56 22.22
9 4 0 5 0 44.44 0.00 55.56
8 0 8 0 0 0.00 100.00 0.00
5 5 0 0 0 100.00 0.00 0.00
4 1 3 0 0 25.00 75.00 0.00
2 1 0 1 0 50.00 0.00 50.00
2 1 0 1 0 50.00 0.00 50.00
1 0 1 0 0 0.00 100.00 0.00
1 1 0 0 0 100.00 0.00 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 0 1 0 0.00 0.00 100.00



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

Publicly Posted Percentages
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total 100.00 12.07 87.93 0.00
ISEG 15.52 0.00 17.65 0.00
Morgan Stanley & Co 15.52 0.00 17.65 0.00
Nasdaq Option Market 15.52 0.00 17.65 0.00
Citadel Securities 13.79 0.00 15.69 0.00
Archipelago LLC 8.62 0.00 9.80 0.00
BATS Stock Exchange 6.90 0.00 7.84 0.00
Chicago Board OptionsExch 6.90 28.57 3.92 0.00
Boston Options Exchange 5.17 42.86 0.00 0.00
CITI 5.17 0.00 5.88 0.00
Philadelphia Exch 3.45 28.57 0.00 0.00
Citadel Execution Service 1.72 0.00 1.96 0.00
Susquehanna Investment Gp 1.72 0.00 1.96 0.00


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
58 7 51 0 0 12.07 87.93 0.00
9 0 9 0 0 0.00 100.00 0.00
9 0 9 0 0 0.00 100.00 0.00
9 0 9 0 0 0.00 100.00 0.00
8 0 8 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
4 2 2 0 0 50.00 50.00 0.00
3 3 0 0 0 100.00 0.00 0.00
3 0 3 0 0 0.00 100.00 0.00
2 2 0 0 0 100.00 0.00 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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