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Summary Statistics:
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Non-directed orders as % of total customer orders
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100.00%
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Market orders as % of total non-directed orders
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20.87%
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Limit orders as % of total non-directed orders
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68.26%
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Other orders as % of total non-directed orders
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10.87%
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Venues Receiving Significant % of Total Non-Directed Orders:
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Archipelago ECN
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1.44%
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BRUT ECN
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0.31%
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Citigroup Global Markets
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2.32%
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E*Trade Capital Markets
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10.67%
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INET ECN
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30.23%
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Lehman Brothers
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27.09%
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OES
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0.37%
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UBS Capital Markets
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21.09%
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Hudson Securities
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6.43%
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Vandham
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0.02%
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Information Concerning Significant Venues:
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1. Archipelago ECN
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Types of Orders Routed to Venue
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Market orders as % of total mrkt. orders
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0.26%
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Limit orders as % of total orders
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2.00%
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Other orders as % of total other orders
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0.18%
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Material Aspects of Relationship with Venue: Success Trade Securities receives payment for directing order flow to ARCA ECN. Payment is based on size of executed order and whether or not the order has added liquidity to the ARCA order book. Payment for qualifying orders during this period was $2.00 per thousand shares executed.
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Go Top
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2. BRUT ECN
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Types of Orders Routed to Venue:
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Market orders as % of total mrkt. orders
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0.00%
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Limit orders as % of total orders
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0.46%
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Other orders as % of total other orders
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0.00%
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Material Aspects of Relationship with Venue: Success Trade Securities receives payment for directing equity order flow to BRUT ECN. Payment is based on size of executed order and whether or not the order has added liquidity to the BRUT order book. Payment for qualifying orders during this period was $2.00 per thousand shares executed.
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3. Citigroup Global Markets
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Types of Orders Routed to Venue:
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Market orders as % of total mrkt. orders
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1.98%
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Limit orders as % of total orders
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2.08%
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Other orders as % of total other orders
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4.43%
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Material Aspects of Relationship with Venue:
Success Trade Securities does not receive any payment for orders routed to this Citigroup Global Markets.
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Go Top
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4. E*Trade Capital Markets
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Types of Orders Routed to Venue:
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Market orders as % of total mrkt. orders
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18.84%
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Limit orders as % of total orders
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9.86%
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Other orders as % of total other orders
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0.09%
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Material Aspects of Relationship with Venue: Success Trade Securities receives payment for directing equity order flow to E*Trade Capital Markets. Payment is based on size of executed order.
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5. INET ECN
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Types of Orders Routed to Venue:
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Market orders as % of total mrkt. orders
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0.00%
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Limit orders as % of total orders
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44.29%
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Other orders as % of total other orders
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0.00%
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Material Aspects of Relationship with Venue: Success Trade Securities receives payment for directing order flow to INET ECN. Payment is based on size of executed order and whether or not the order has added liquidity to the INET order book. Payment for qualifying orders during this period was $2.00 per thousand shares executed.
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Go Top
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6. Lehman Brothers
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Types of Orders Routed to Venue:
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Market orders as % of total mrkt. orders
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43.33%
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Limit orders as % of total orders
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19.38%
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Other orders as % of total other orders
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44.32%
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Material Aspects of Relationship with Venue: Success Trade Securities does not receive any payment for orders routed to Lehman Brothers
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7. OES
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Types of Orders Routed to Venue:
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Market orders as % of total mrkt. orders
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0.72%
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Limit orders as % of total orders
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0.31%
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Other orders as % of total other orders
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0.09%
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Material Aspects of Relationship with Venue: Success Trade Securities does not receive any payment for orders routed to OES
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Material Aspects of Relationship with Venue: Success Trade Securities does not receive any payment for orders routed to OES
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Go Top
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8. UBS Capital Markets
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Types of Orders Routed to Venue:
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Market orders as % of total mrkt. orders
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25.95%
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Limit orders as % of total orders
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16.13%
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Other orders as % of total other orders
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42.93%
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Material Aspects of Relationship with Venue: Success Trade Securities does not receive any payment for orders routed to UBS Capital Markets
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Go Top
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9. Hudson Securities
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Types of Orders Routed to Venue:
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Market orders as % of total mrkt. orders
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8.93%
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Limit orders as % of total orders
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5.42%
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Other orders as % of total other orders
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7.97%
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Material Aspects of Relationship with Venue: Success Trade Securities receives payment for directing equity order flow to Hudson Securities. Payment is based on size of executed order
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10. VANDHAM
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Types of Orders Routed to Venue:
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Market orders as % of total mrkt. orders
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0.00%
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Limit orders as % of total orders
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0.03%
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Other orders as % of total other orders
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0.00%
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Material Aspects of Relationship with Venue: Success Trade Securities does not receive any payment for orders routed to Vandham Securities
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Sec Rule 11ac1-6 Report
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Types of Orders Routed to Venue:
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Non-directed orders as percentage of total customer orders
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100.00%
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Market orders as % of total mrkt. orders
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12.31%
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Limit orders as % of total orders
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81.78%
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Other orders as % of total other orders
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5.90%
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