SEC Rule 606 Report - Ridgeway & Conger, Inc. - 1st Qtr, 2011
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange Euronext
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
Other (%) |
| Total (%) |
100 |
42 |
32 |
26 |
| Knight Capital Americas |
40.00 |
34.39 |
41.41 |
47.08 |
| UBS Securities LLC |
34.46 |
39.93 |
31.06 |
30.01 |
| Auto Trading Desk Fin Svc |
25.54 |
25.68 |
27.53 |
22.90 |
100.00% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
Other (%) |
| Total (%) |
100 |
47 |
23 |
30 |
| Knight Capital Americas |
54.14 |
45.09 |
62.04 |
62.26 |
| Auto Trading Desk Fin Svc |
31.17 |
36.67 |
25.31 |
27.04 |
| UBS Securities LLC |
14.69 |
18.24 |
12.65 |
10.69 |
100.00% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
Other (%) |
| Total (%) |
100 |
49 |
10 |
41 |
| UBS Securities LLC |
42.50 |
42.36 |
51.16 |
40.47 |
| Knight Capital Americas |
32.77 |
26.35 |
23.26 |
42.82 |
| Auto Trading Desk Fin Svc |
24.73 |
31.28 |
25.58 |
16.72 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
Other (%) |
| Total (%) |
100 |
17 |
83 |
0 |
| Interactive Brokers LLC |
61.24 |
37.14 |
66.21 |
0.00 |
| Citigroup Global Markets |
35.02 |
60.95 |
29.67 |
0.00 |
100.00% of total customer orders were non-directed orders.