SUNTRUST INVESTMENT SERVICES, INC. P.O. BOX 596 RICHMOND ...
SUNTRUST INVESTMENT SERVICES, INC. P.O. BOX 596
RICHMOND, VA 23286
SEC Rule 606 Quarterly Report for the Quarter Ending June 30, 2018
Securities Listed on New York Stock Exchange
Summary Statistics:
Non-directed orders as percentage of total customer 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
Venues Receiving Significant Percentage of Total Non-Directed Orders:
100.00% 94.50% 4.36% 1.14%
1. VIRTU Americas LLC 2. Citadel Securities LLC 3. G1 Execution Services, LLC 4. Two Sigma Securities, LLC 5. Cboe BYX U.S. Equities Exchange 6. Instinet LLC 7. UBS Securities, LLC 8. NASDAQ Execution Services, LLC 9. Cboe EDGX U.S. Equities Exchange 10. SunTrust Investment Services, Inc.
Information Concerning Significant Venues:
1. VIRTU Americas LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
2. Citadel Securities LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
42.22% 39.64%
4.93% 4.17% 3.08% 1.08% 0.81% 0.79% 0.77% 0.75%
43.40% 19.43% 31.19%
40.56% 15.68% 55.24%
Page 1 of 8
3. G1 Execution Services, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
4. Two Sigma Securities, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
5. Cboe BYX U.S. Equities Exchange
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
6. Instinet LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
7. UBS Securities, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
8. NASDAQ Execution Services, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
9. Cboe EDGX U.S. Equities Exchange
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
10. SunTrust Investment Services, Inc.
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
5.17% 0.94% 0.00%
4.35% 1.19% 0.71%
3.23% 0.81% 0.00%
1.13% 0.25% 0.00%
0.46% 5.93% 9.76%
0.00% 18.05%
0.00%
0.00% 17.74%
0.00%
0.80% 0.00% 0.00%
Page 2 of 8
Securities Listed on The Nasdaq Stock Market
Summary Statistics:
Non-directed orders as percentage of total customer 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
Venues Receiving Significant Percentage of Total Non-Directed Orders:
100.00% 92.79% 5.80% 1.41%
1. VIRTU Americas LLC 2. Citadel Securities LLC 3. G1 Execution Services, LLC 4. Two Sigma Securities, LLC 5. Cboe BYX U.S. Equities Exchange 6. NASDAQ Execution Services, LLC 7. Cboe EDGX U.S. Equities Exchange 8. Instinet LLC 9. UBS Securities, LLC 10. National Financial Services LLC
Information Concerning Significant Venues:
1. VIRTU Americas LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
2. Citadel Securities LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
3. G1 Execution Services, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
4. Two Sigma Securities, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
42.82% 39.89%
5.08% 3.82% 2.23% 1.94% 1.13% 0.89% 0.75% 0.40%
44.81% 17.63% 15.47%
40.84% 16.14% 75.18%
5.37% 0.96% 2.88%
4.06% 0.88% 0.00%
Page 3 of 8
5. Cboe BYX U.S. Equities Exchange
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
6. NASDAQ Execution Services, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
7. Cboe EDGX U.S. Equities Exchange
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
8. Instinet LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
9. UBS Securities, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
10. National Financial Services LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
2.36% 0.61% 0.00%
0.00% 33.16%
1.08%
0.00% 19.39%
0.72%
0.95% 0.26% 0.00%
0.44% 5.26% 2.52%
0.33% 1.14% 1.44%
Page 4 of 8
Securities Listed on NYSE American or Regional Exchanges
Summary Statistics:
Non-directed orders as percentage of total customer 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
Venues Receiving Significant Percentage of Total Non-Directed Orders:
100.00% 97.05% 1.69% 1.26%
1. VIRTU Americas LLC 2. Citadel Securities LLC 3. G1 Execution Services, LLC 4. Cboe BYX U.S. Equities Exchange 5. Two Sigma Securities, LLC 6. Instinet LLC 7. UBS Securities, LLC 8. BNY Mellon Capital Markets LLC 9. NASDAQ Execution Services, LLC 10. SunTrust Investment Services, Inc.
Information Concerning Significant Venues:
1. VIRTU Americas LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
2. Citadel Securities LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
3. G1 Execution Services, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
4. Cboe BYX U.S. Equities Exchange
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
41.55% 40.16%
5.17% 5.14% 4.39% 1.26% 0.55% 0.53% 0.35% 0.32%
42.10% 21.07% 26.58%
40.14% 20.75% 67.51%
5.32% 0.63% 0.00%
5.28% 0.94% 0.00%
Page 5 of 8
5. Two Sigma Securities, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
6. Instinet LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
7. UBS Securities, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
8. BNY Mellon Capital Markets LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
9. NASDAQ Execution Services, LLC
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
10. SunTrust Investment Services, Inc.
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
4.48% 2.20% 0.42%
1.28% 1.26% 0.00%
0.36% 7.86% 5.49%
0.54% 0.00% 0.00%
0.00% 20.75%
0.00%
0.33% 0.00% 0.00%
Page 6 of 8
Exchange - Listed Options
Summary Statistics:
Non-directed orders as percentage of total customer 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
Venues Receiving Significant Percentage of Total Non-Directed Orders:
100.00% 42.53% 51.84% 5.63%
1. Cboe Options Exchange 2. NASDAQ PHLX Options 3. NASDAQ Options Market 4. ISE Gemini Options Exchange 5. The MIAX Options Exchange 6. BOX Option Exchange 7. Cboe BZX Options Exchange, Inc. 8. NYSE American Options 9. Cboe EDGX Option Exchange 10. NYSE Arca Options
Information Concerning Significant Venues:
1. Cboe Options Exchange
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
2. NASDAQ PHLX Options
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
3. NASDAQ Options Market
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
4. ISE Gemini Options Exchange
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
27.52% 21.89% 12.23%
8.69% 6.60% 6.32% 5.56% 4.10% 3.20% 2.50%
34.97% 16.89% 69.14%
32.19% 13.94% 17.28%
0.49% 23.19%
0.00%
0.65% 16.09%
1.23%
Page 7 of 8
5. The MIAX Options Exchange
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
6. BOX Option Exchange
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
7. Cboe BZX Options Exchange, Inc.
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
8. NYSE American Options
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
9. Cboe EDGX Option Exchange
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
10. NYSE Arca Options
Types of Orders Routed to Venue:
Market orders as percentage of total market orders Limit orders as percentage of total limit orders Other orders as percentage of total other orders
8.50% 5.76% 0.00%
9.31% 4.42% 1.23%
0.65% 10.19%
0.00%
7.19% 1.61% 3.70%
3.59% 3.22% 0.00%
0.65% 3.89% 3.70%
Page 8 of 8
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