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SEC Rule 606


SEC Rule 606 Report - Seaport Securities Corporation - 1st 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 41.91 30.35 27.73
KCG Americas LLC 29.58 44.12 11.68 27.22
Citadel Securities 26.19 44.49 9.14 17.22
BATS Stock Exchange 12.02 0.00 39.59 0.00
DirectEdge ECN (EDGX) 9.24 0.00 30.46 0.00
New York Stock Exch 6.01 0.00 0.51 21.11
G1 Execution Services 5.70 3.68 4.57 10.00
SEAP 2.47 0.00 0.00 8.89
Instinet Corp 2.16 3.31 2.03 0.56
KCG Americas LLC 2.16 0.00 0.00 7.78
UBS Securities LLC 1.85 0.37 0.51 5.56


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
649 272 197 180 0 41.91 30.35 27.73
192 120 23 49 0 62.50 11.98 25.52
170 121 18 31 0 71.18 10.59 18.24
78 0 78 0 0 0.00 100.00 0.00
60 0 60 0 0 0.00 100.00 0.00
39 0 1 38 0 0.00 2.56 97.44
37 10 9 18 0 27.03 24.32 48.65
16 0 0 16 0 0.00 0.00 100.00
14 9 4 1 0 64.29 28.57 7.14
14 0 0 14 0 0.00 0.00 100.00
12 1 1 10 0 8.33 8.33 83.33



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 31.69 25.82 42.49
Citadel Securities 31.46 40.74 7.27 39.23
KCG Americas LLC 28.87 42.96 10.91 29.28
BATS Stock Exchange 11.27 0.00 43.64 0.00
DirectEdge ECN (EDGX) 7.28 0.00 28.18 0.00
Nasdaq Execution Services 5.40 0.00 3.64 10.50
G1 Execution Services 3.76 5.93 1.82 3.31
SKNY 2.82 0.00 1.82 5.52
Two Sigma Securities, LLC 2.58 4.44 0.91 2.21
National Financial Servic 2.11 2.22 0.91 2.76
SEAP 1.88 0.00 0.00 4.42


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
426 135 110 181 0 31.69 25.82 42.49
134 55 8 71 0 41.04 5.97 52.99
123 58 12 53 0 47.15 9.76 43.09
48 0 48 0 0 0.00 100.00 0.00
31 0 31 0 0 0.00 100.00 0.00
23 0 4 19 0 0.00 17.39 82.61
16 8 2 6 0 50.00 12.50 37.50
12 0 2 10 0 0.00 16.67 83.33
11 6 1 4 0 54.55 9.09 36.36
9 3 1 5 0 33.33 11.11 55.56
8 0 0 8 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 59.49 17.72 22.78
KCG Americas LLC 48.10 55.32 7.14 61.11
Citadel Securities 24.05 31.91 0.00 22.22
BATS Stock Exchange 11.39 0.00 64.29 0.00
Instinet Corp 3.80 4.26 7.14 0.00
Two Sigma Securities, LLC 3.80 6.38 0.00 0.00
NYSE MKT 2.53 0.00 0.00 11.11
DirectEdge ECN (EDGX) 2.53 0.00 14.29 0.00
G1 Execution Services 2.53 2.13 7.14 0.00
KCG Americas LLC 1.27 0.00 0.00 5.56


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
79 47 14 18 0 59.49 17.72 22.78
38 26 1 11 0 68.42 2.63 28.95
19 15 0 4 0 78.95 0.00 21.05
9 0 9 0 0 0.00 100.00 0.00
3 2 1 0 0 66.67 33.33 0.00
3 3 0 0 0 100.00 0.00 0.00
2 0 0 2 0 0.00 0.00 100.00
2 0 2 0 0 0.00 100.00 0.00
2 1 1 0 0 50.00 50.00 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 3.95 96.05 0.00
Nasdaq Option Market 28.95 0.00 30.14 0.00
CITI 19.74 0.00 20.55 0.00
Morgan Stanley & Co 13.16 0.00 13.70 0.00
Citadel Securities 11.84 0.00 12.33 0.00
ISEG 9.21 0.00 9.59 0.00
Philadelphia Exch 3.95 33.33 2.74 0.00
Susquehanna Capital Group 3.95 0.00 4.11 0.00
Citadel Execution Service 2.63 33.33 1.37 0.00
National Financial Servic 2.63 0.00 2.74 0.00
Archipelago LLC 1.32 0.00 1.37 0.00


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
76 3 73 0 0 3.95 96.05 0.00
22 0 22 0 0 0.00 100.00 0.00
15 0 15 0 0 0.00 100.00 0.00
10 0 10 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
3 1 2 0 0 33.33 66.67 0.00
3 0 3 0 0 0.00 100.00 0.00
2 1 1 0 0 50.00 50.00 0.00
2 0 2 0 0 0.00 100.00 0.00
1 0 1 0 0 0.00 100.00 0.00



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

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