Note: Broker-dealers are required to disclose any material arrangements with the venues listed in
each section below, including, but not limited to, any internalization or payment for order flow
arrangements.
KEEL POINT CAPITAL, LLC.
100 CHURCH STREET
STE 500
HUNTSVILLE, AL, 35801
SEC Rule 606 Quarterly Report for the Quarter Ending March 31, 2017
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
100.00%
92.23%
6.71%
1.06%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1.
2.
3.
4.
5.
6.
7.
8.
9.
KCG Americas LLC
Citadel Securities LLC
Instinet LLC
BATS BYX Exchange
G1 Execution Services, LLC
BATS BZX Exchange
Two Sigma Securities, LLC
EDGX Exchange, Inc.
UBS Securities, LLC
53.00%
31.10%
3.53%
2.83%
2.47%
2.47%
2.12%
1.41%
1.06%
Information Concerning Significant Venues :
1.
KCG 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.
55.56%
26.32%
0.00%
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
31.80%
10.53%
100.00%
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3.
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
4.
3.45%
5.26%
0.00%
BATS BYX 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
5.
3.07%
0.00%
0.00%
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
6.
2.68%
0.00%
0.00%
BATS BZX 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.
0.00%
36.84%
0.00%
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
8.
2.30%
0.00%
0.00%
EDGX 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
9.
0.00%
21.05%
0.00%
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
1.15%
0.00%
0.00%
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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
100.00%
91.63%
7.39%
0.99%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
KCG Americas LLC
Citadel Securities LLC
BATS BZX Exchange
Two Sigma Securities, LLC
EDGX Exchange, Inc.
G1 Execution Services, LLC
BATS BYX Exchange
Instinet LLC
UBS Securities, LLC
NYSE Arca
54.19%
32.27%
3.20%
2.96%
1.72%
1.72%
1.23%
0.99%
0.99%
0.25%
Information Concerning Significant Venues :
1.
KCG 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.
57.26%
16.67%
50.00%
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.
34.14%
6.67%
50.00%
BATS BZX 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
4.
0.00%
43.33%
0.00%
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
3.23%
0.00%
0.00%
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5.
EDGX 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
6.
0.00%
23.33%
0.00%
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
7.
1.61%
3.33%
0.00%
BATS BYX 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.
1.34%
0.00%
0.00%
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.
1.08%
0.00%
0.00%
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.
1.08%
0.00%
0.00%
NYSE Arca
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
0.00%
3.33%
0.00%
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Securities Listed on NYSE MKT 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
100.00%
99.35%
0.05%
0.60%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1.
2.
3.
4.
5.
6.
7.
8.
9.
KCG Americas LLC
Citadel Securities LLC
Instinet LLC
Two Sigma Securities, LLC
G1 Execution Services, LLC
BATS BYX Exchange
UBS Securities, LLC
Blue Creek Securities, Inc.
New York Stock Exchange
47.51%
34.60%
5.42%
4.50%
3.58%
3.47%
0.65%
0.22%
0.05%
Information Concerning Significant Venues :
1.
KCG 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.
47.82%
0.00%
0.00%
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.
34.22%
0.00%
100.00%
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
4.
5.46%
0.00%
0.00%
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
4.53%
0.00%
0.00%
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5.
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
6.
3.55%
100.00%
0.00%
BATS BYX 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.
3.49%
0.00%
0.00%
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.
0.66%
0.00%
0.00%
Blue Creek Securities, 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
9.
0.22%
0.00%
0.00%
New York Stock 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
0.05%
0.00%
0.00%
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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
100.00%
0.00%
100.00%
0.00%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1.
2.
The MIAX Options Exchange
NASDAQ Options Market
66.67%
33.33%
Information Concerning Significant Venues :
1.
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
2.
0.00%
66.67%
0.00%
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
0.00%
33.33%
0.00%
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