SEC Order Routing

Securities and Exchange Commission Rule 606

Securities and Exchange Commission Rule ("SEC") 606 requires broker dealers that route client orders in certain equity and option securities to make available to the public quarterly reports that represent a general overview of their routing practices. Upon written request, Lake Street Capital Markets will provide the market center location to which your specific equity and/or option order was routed for execution, and/or a copy of our website information. The most recent quarterly report is provided below.

NASDAQ Securities

Quarter Ending 06/30/17 *

Exchange

Market Order

Limit

Others

Total

Non-Directed Orders as Percentage (%) of Total Customer Orders

0.00%

0.00%

100.00%

100.00%

ConvergEx Execution Solutions

0.00%

0.00%

99.79%

99.79%

NASDAQ 0.00% 0.00% 0.21% 0.21%

 

NYSE Securities

Quarter Ending 06/30/17 *

Exchange

Market Order

Limit

Others

Total

Non-Directed Orders as Percentage (%) of Total Customer Orders

0.00%

0.00%

100.00%

100.00%

ConvergEx Execution Solutions

0.00%

0.00%

100.00%

100.00%

 

AMEX/Regional Exchange Securities

Quarter Ending 06/30/17 *

 

Exchange

Market Order

Limit

Others

Total

Non-Directed Orders as Percentage (%) of Total Customer Orders

0.00%

0.00%

100.00%

100.00%

ConvergEx Execution Solutions

0.00%

0.00%

100.00%

100.00%

 

 

* Lake Street Capital Markets has prepared this report in accordance with U.S. Securities and Exchange Commission Exchange Act Rule 606 that requires broker/dealers to make public, quarterly reports containing certain information on their order routing practices. The report provides information on the routing of "non-directed orders" which is generally defined as any order that the client has not specifically instructed to be routed to a particular venue for execution.

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