Quarterly Order Flow Sept-30-11
| GARRETT NAGLE & CO., INC. | ||||
| 300 Unicorn Park Drive | ||||
| Woburn, MA 01801 | ||||
| SEC Rule 606 Quarterly Report for the Quarter Ending September 30th 2011 | ||||
| Under Rule 11Ac1-6 as adopted, broker-dealers that route orders on behalf of customers are required to prepare quarterly reports that disclose the identity of the venues to which orders are routed for execution. The reports also disclose the nature of the broker-dealer's relationship with those venues, including the existence of any internalization or payment for order flow arrangements. Finally, broker-dealers are required to disclose, on customer request, where they routed a customer's individual orders for execution. | ||||
| Securities Listed on NYSE Euronext | ||||
| Summary Statistics : | ||||
| Non-directed orders as percentage of total customer orders | 100.00% | |||
| Market orders as percentage of total non-directed orders | 52.21% | |||
| Limit orders as percentage of total non-directed orders | 47.79% | |||
| Other orders as percentage of total non-directed orders | 0.00% | |||
| Venues Receiving Significant Percentage of Total Non-Directed Orders : | Market orders as percentage of total market orders | Limit orders as percentage of total limit orders | Other orders as percentage of total other orders | |
| Knight Capital Markets, LLC | 22.06% | 36.62% | 6.15% | 0.00% |
| UBS Securities, LLC | 13.24% | 21.13% | 4.62% | 0.00% |
| NYSE Arca | 12.50% | 0.00% | 26.15% | 0.00% |
| BATS Exchange, Inc | 12.50% | 0.00% | 26.15% | 0.00% |
| National Financial Services LLC | 10.29% | 15.49% | 4.62% | 0.00% |
| Citadel Derivatives Group LLC | 8.82% | 12.68% | 4.62% | 0.00% |
| Direct Edge Exchange | 8.09% | 0.00% | 16.92% | 0.00% |
| Citigroup Global Markets, Inc. | 5.88% | 4.23% | 7.69% | 0.00% |
| Goldman, Sachs & Co. | 3.68% | 7.04% | 0.00% | 0.00% |
| AlterNet Securities Inc. | 2.21% | 1.41% | 3.08% | 0.00% |
| Securities Listed on The Nasdaq Stock Market | ||||
| Summary Statistics : | ||||
| Non-directed orders as percentage of total customer orders | 100.00% | |||
| Market orders as percentage of total non-directed orders | 23.08% | |||
| Limit orders as percentage of total non-directed orders | 76.92% | |||
| Other orders as percentage of total non-directed orders | 0.00% | |||
| Venues Receiving Significant Percentage of Total Non-Directed Orders : | Market orders as percentage of total market orders | Limit orders as percentage of total limit orders | Other orders as percentage of total other orders | |
| Knight Equity Markets, L.P. | 17.16% | 38.46% | 10.77% | 0.00% |
| Nasdaq Execution Services, L.L.C. | 15.38% | 2.56% | 19.23% | 0.00% |
| NYSE Arca | 13.02% | 0.00% | 16.92% | 0.00% |
| UBS Securities, LLC | 13.02% | 25.64% | 9.23% | 0.00% |
| National Financial Services LLC | 11.24% | 10.26% | 11.54% | 0.00% |
| BATS Exchange, Inc. | 10.06% | 0.00% | 13.08% | 0.00% |
| Direct Edge Exchange | 9.47% | 0.00% | 12.31% | 0.00% |
| Citadel Derivatives Group LLC | 7.10% | 20.51% | 3.08% | 0.00% |
| Credit Suisse Securities (USA) L.L.C. | 1.18% | 0.00% | 1.54% | 0.00% |
| Citigroup Global Markets, Inc. | 1.18% | 0.00% | 1.54% | 0.00% |
| Securities Listed on NYSE Amex or Regional Exchanges | ||||
| Summary Statistics : | ||||
| Non-directed orders as percentage of total customer orders | 100.00% | |||
| Market orders as percentage of total non-directed orders | 25.00% | |||
| Limit orders as percentage of total non-directed orders | 75.00% | |||
| Other orders as percentage of total non-directed orders | 0.00% | |||
| Venues Receiving Significant Percentage of Total Non-Directed Orders : | Market orders as percentage of total market orders | Limit orders as percentage of total limit orders | Other orders as percentage of total other orders | |
| National Financial Services LLC | 75.00% | 100.00% | 66.67% | 0.00% |
| BATS Exchange, Inc. | 25.00% | 0.00% | 33.33% | 0.00% |
| Exchange - Listed Options | ||||
| Summary Statistics : | ||||
| Non-directed orders as percentage of total customer orders | 0.00% | |||
| Market orders as percentage of total non-directed orders | 0.00% | |||
| Limit orders as percentage of total non-directed orders | 0.00% | |||
| Other orders as percentage of total non-directed orders | 0.00% | |||
Published in
For the Year 2011
For the Year 2012 |