Securities Listed on the New York Stock Exchange. Summary Statistics: Non-directed orders as a percentage of total customer orders 100%
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1 Cetera Investment Services LLC Disclosure of Order Execution and Routing Practices Under SEC Rule 606 (formerly SEC Rule 11Ac1-6) January 1, 2015 through March 31, 2015 Cetera Investment Services LLC has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly reports disclosing their order routing practices. The report provides information on the routing of "non-directed orders" any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, Cetera Investment Services LLC has selected the execution venue on behalf of its customers. This report is divided into four sections: securities listed on the New York Stock Exchange, securities listed on The Nasdaq Stock Market, securities listed on the NYSE Amex or other regional exchanges, and exchange listed options. For each section, this report identifies the venues most often selected by Cetera Investment Services LLC, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of Cetera Investment Services LLC s relationship with the venues. Securities Listed on the New York Stock Exchange Market orders as a percentage of total non-directed orders 84.41% Limit orders as a percentage of total non-directed orders 12.75% Other orders as a percentage of total non-directed orders 2.14% 63.70% 16.52% 9.55% Market Orders as percentage of total market orders 63.57% Limit orders as percentage of total limit orders 64.52% Other orders as percentage of total other orders 76.97%
2 Market Orders as percentage of total market orders 16.68% Limit orders as percentage of total limit orders 16.27% Other orders as percentage of total other orders 15.02% Market Orders as percentage of total market orders 9.79% Limit orders as percentage of total limit orders 9.71% Other orders as percentage of total other orders 2.58% Securities Listed on the NASDAQ Stock Market Market orders as a percentage of total non-directed orders 74.65% Limit orders as a percentage of total non-directed orders 19.91% Other orders as a percentage of total non-directed orders 2.14% 63.33% 23.24% 8.00%
3 Market Orders as percentage of total market orders 64.48% Limit orders as percentage of total limit orders 70.44% Other orders as percentage of total other orders 48.71% Market Orders as percentage of total market orders 25.75% Limit orders as percentage of total limit orders 16.65% Other orders as percentage of total other orders 30.60% Market Orders as percentage of total market orders 8.27% Limit orders as percentage of total limit orders 8.28% Other orders as percentage of total other orders 8.62% Securities Listed on the NYSE Amex or other Regional Exchanges
4 Market orders as a percentage of total non-directed orders 74.85% Limit orders as a percentage of total non-directed orders 23.38% Other orders as a percentage of total non-directed orders 0.59% 83.69% 4.13% 12.77% Market Orders as percentage of total market orders 85.30% Limit orders as percentage of total limit orders 82.35% Other orders as percentage of total other orders 100% Market Orders as percentage of total market orders 3.67% Limit orders as percentage of total limit orders 2.52% Other orders as percentage of total other orders 0.00% Market Orders as percentage of total market orders 12.07% Limit orders as percentage of total limit orders 15.97%
5 Other orders as percentage of total other orders 0.00% Exchange-Listed Options Non-directed orders as a percentage of total customer order100% Market orders as a percentage of total non-directed orders 27.02% Limit orders as a percentage of total non-directed orders 70.43% Other orders as a percentage of total non-directed orders 0.00% 1. Bank of America Merrill Lynch 100% 1. Bank of America Merrill Lynch Market Orders as percentage of total market orders 100% Limit orders as percentage of total limit orders 100% Other orders as percentage of total other orders 100% Cetera Investment Services LLC does not receive payment for order-flow for Option transactions. Contacting Cetera Investment Services LLC You may contact Cetera Investment Services LLC's Home Office for any matter at the following address: Cetera Investment Services LLC, 400 First Street South, ; or by telephone at (800)
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