Securities Listed on The New York Stock Exchange Quarter Ending September 30, 2017


Summary Statistics:
  Non-directed orders as percentage of total customer orders 100%
  Market orders as percentage of total market orders 44.29%
  Limit orders as percentage of total limit orders 45.55%
  Other orders as percentage of total other orders 10.15%


Venues Receiving Significant Percentage of Total Non-Directed Orders:
  1. Citadel Securities LLC 28.66%
  2. VIRTU Americas LLC 27.19%
  3. EDGX Exchange, Inc. 10.44%
  4. BATS BZX Exchange 8.35%
  5. New York Stock Exchange 6.86%
  6. National Financial Services LLC 5.95%
  7. Two Sigma Securities, LLC 3.66%
  8. G1 Execution Services, LLC 3.13%
  9. UBS Securities, LLC 1.39%
  10. Instinet LLC 1.27%

Information Concerning Significant Venues:
 
1. Citadel Securities LLC

Types of Orders Routed to Venue:
  Market orders as percentage of total market orders 34.97%
  Limit orders as percentage of total limit orders 14.64%
  Other orders as percentage of total other orders 63.99%

Material Aspects of Relationship with Venue:
Siebert receives no compensation for order flow routed to Citadel Securities LLC
 
2. VIRTU Americas LLC

Types of Orders Routed to Venue:
  Market orders as percentage of total market orders 35.72%
  Limit orders as percentage of total limit orders 19.49%
  Other orders as percentage of total other orders 24.52%

Material Aspects of Relationship with Venue:
Siebert receives no compensation for order flow routed to VIRTU Americas LLC
 
3. EDGX Exchange, Inc.

Types of Orders Routed to Venue:
  Market orders as percentage of total market orders 0.00%
  Limit orders as percentage of total limit orders 22.73%
  Other orders as percentage of total other orders 0.81%

Material Aspects of Relationship with Venue:
Siebert receives no compensation for order flow routed to EDGX Exchange, Inc.
 
4. BATS BZX Exchange

Types of Orders Routed to Venue:
  Market orders as percentage of total market orders 0.00%
  Limit orders as percentage of total limit orders 18.33%
  Other orders as percentage of total other orders 0.05%

Material Aspects of Relationship with Venue:
Siebert receives no compensation for order flow routed to BATS BZX Exchange
 
5. New York Stock Exchange

Types of Orders Routed to Venue:
  Market orders as percentage of total market orders 0.94%
  Limit orders as percentage of total limit orders 14.08%
  Other orders as percentage of total other orders 0.27%

Material Aspects of Relationship with Venue:
Siebert receives no compensation for order flow routed to New York Stock Exchange
 
6. National Financial Services LLC

Types of Orders Routed to Venue:
  Market orders as percentage of total market orders 10.06%
  Limit orders as percentage of total limit orders 2.74%
  Other orders as percentage of total other orders 2.39%

Material Aspects of Relationship with Venue:
Siebert receives no compensation for order flow routed to National Financial Services LLC
 
7. Two Sigma Securities, LLC

Types of Orders Routed to Venue:
  Market orders as percentage of total market orders 6.28%
  Limit orders as percentage of total limit orders 1.42%
  Other orders as percentage of total other orders 2.25%

Material Aspects of Relationship with Venue:
Siebert receives no compensation for order flow routed to Two Sigma Securities, LLC
 
8. G1 Execution Services, LLC

Types of Orders Routed to Venue:
  Market orders as percentage of total market orders 5.04%
  Limit orders as percentage of total limit orders 1.98%
  Other orders as percentage of total other orders 0.00%

Material Aspects of Relationship with Venue:
Siebert receives no compensation for order flow routed to G1 Execution Services, LLC
 
9. UBS Securities, LLC

Types of Orders Routed to Venue:
  Market orders as percentage of total market orders 0.88%
  Limit orders as percentage of total limit orders 1.30%
  Other orders as percentage of total other orders 4.06%

Material Aspects of Relationship with Venue:
Siebert receives no compensation for order flow routed to UBS Securities, LLC
 
10. Instinet LLC

Types of Orders Routed to Venue:
  Market orders as percentage of total market orders 2.37%
  Limit orders as percentage of total limit orders 0.49%
  Other orders as percentage of total other orders 0.00%

Material Aspects of Relationship with Venue:
Siebert receives no compensation for order flow routed to Instinet LLC