HBU ABNER HERRMAN & BROCK, LLC HARBORSIDE HUDSON STREET, SUITE 1640 JERSEY CITY, NJ 07311
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1 Note: Broker-dealers are required to disclose any material arrangements with the venues listed in each section below, including, but not limited to, any internalization or payment for order flow arrangements. HBU ABNER HERRMAN & BROCK, LLC HARBORSIDE HUDSON STREET, SUITE 1640 JERSEY CITY, NJ SEC Rule 606 Quarterly Report for the Quarter Ending June 30, 2018 Securities Listed on New York Stock Exchange Non-directed orders as percentage of total customer orders % Market orders as percentage of total market orders % Venues Receiving Significant Percentage of Total Non-Directed Orders: 1. VIRTU Americas LLC 47.06% 2. Citadel Securities LLC 42.08% 3. Two Sigma Securities, LLC 4.52% 4. G1 Execution Services, LLC 3.17% 5. Instinet LLC 2.26% 6. Cboe BYX U.S. Equities Exchange 0.90% Information Concerning Significant Venues : 1. VIRTU Americas LLC Market orders as percentage of total market orders 47.06% 2. Citadel Securities LLC Market orders as percentage of total market orders 42.08% Page 1 of 6
2 3. Two Sigma Securities, LLC Market orders as percentage of total market orders 4.52% 4. G1 Execution Services, LLC 5. Instinet LLC Market orders as percentage of total market orders 3.17% Market orders as percentage of total market orders 2.26% 6. Cboe BYX U.S. Equities Exchange Market orders as percentage of total market orders 0.90% Page 2 of 6
3 Securities Listed on The Nasdaq Stock Market Non-directed orders as percentage of total customer orders % Market orders as percentage of total market orders 98.46% Limit orders as percentage of total limit orders 1.54% Venues Receiving Significant Percentage of Total Non-Directed Orders: 1. Citadel Securities LLC 44.62% 2. VIRTU Americas LLC 40.00% 3. Two Sigma Securities, LLC 6.15% 4. Instinet LLC 4.62% 5. Cboe BYX U.S. Equities Exchange 3.08% 6. G1 Execution Services, LLC 1.54% Information Concerning Significant Venues : 1. Citadel Securities LLC Market orders as percentage of total market orders 45.31% 2. VIRTU Americas LLC Market orders as percentage of total market orders 39.06% Limit orders as percentage of total limit orders % 3. Two Sigma Securities, LLC 4. Instinet LLC Market orders as percentage of total market orders 6.25% Market orders as percentage of total market orders 4.69% Page 3 of 6
4 5. Cboe BYX U.S. Equities Exchange Market orders as percentage of total market orders 3.13% 6. G1 Execution Services, LLC Market orders as percentage of total market orders 1.56% Page 4 of 6
5 Securities Listed on NYSE American or Regional Exchanges Non-directed orders as percentage of total customer orders % Market orders as percentage of total market orders % Venues Receiving Significant Percentage of Total Non-Directed Orders: 1. Citadel Securities LLC 71.43% 2. VIRTU Americas LLC 28.57% Information Concerning Significant Venues : 1. Citadel Securities LLC Market orders as percentage of total market orders 71.43% 2. VIRTU Americas LLC Market orders as percentage of total market orders 28.57% Page 5 of 6
6 Exchange - Listed Options Non-directed orders as percentage of total customer orders 0.00% Market orders as percentage of total market orders 0.00% Page 6 of 6
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