0kj-187A-2009-04-23

WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 1 PAGE 10.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.

ELMHURST, IL 60126-1131
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

SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009

SECURITIES LISTED ON THE NEW YORK STOCK EXCHANGE
SUMMARY STATISTICS :
NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS 100.00%
MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 68.88%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 28.80%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 2.33%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 38.90%
2. KNIGHT CAPITAL MARKETS, L.L.C. 26.56%
3. CITADEL DERIVATIVES GROUP, L.L.C. 15.24%
4. UBS SECURITIES, L.L.C. 8.69%
5. NATIONAL FINANCIAL SERVICES L.L.C. 6.36%
6. LASALLE STREET SECURITIES, INC. 1.93%
7. NYSE EURONEXT 1.17%
8. ARCHIPELAGO TRADING SERVICES, INC. 1.01%
9. PERSHING L.L.C., PRINCIPAL TRADING 0.10%
10. BATS, INC. 0.01%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 37.54%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 39.40%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 72.84%
2. KNIGHT CAPITAL MARKETS, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 25.71%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 29.11%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 19.83%
3. CITADEL DERIVATIVES GROUP, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 14.93%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 16.70%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 6.47%
4. UBS SECURITIES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 9.02%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 8.54%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.86%

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0KJ PAGE : 2 PAGE 11.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.

ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009
5. NATIONAL FINANCIAL SERVICES L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 8.59%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.53%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. LASALLE STREET SECURITIES, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.80%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. NYSE EURONEXT
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.28%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.01%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
8. ARCHIPELAGO TRADING SERVICES, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.52%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. PERSHING L.L.C., PRINCIPAL TRADING
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.07%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.17%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. BATS, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.01%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%

WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 3 PAGE 12.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.

ELMHURST, IL 60126-1131

SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009

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 60.85%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 37.56%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 1.59%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 28.79%
2. KNIGHT EQUITY MARKETS, L.P. 24.62%
3. CITADEL DERIVATIVES GROUP, L.L.C. 19.40%
4. UBS SECURITIES, L.L.C. 17.99%
5. NATIONAL FINANCIAL SERVICES L.L.C. 2.92%
6. CITIGROUP GLOBAL MARKETS, INC. 2.23%
7. LASALLE STREET SECURITIES, INC. 1.64%
8. ARCHIPELAGO TRADING SERVICES, INC. 0.97%
9. NATIXIS BLEICHROEDER, INC. 0.87%
10. NYSE EURONEXT 0.56%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 27.71%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 28.88%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 67.74%
2. KNIGHT EQUITY MARKETS, L.P.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 22.25%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 28.75%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 17.74%
3. CITADEL DERIVATIVES GROUP, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 21.78%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 16.28%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.61%
4. UBS SECURITIES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 18.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 18.19%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 12.90%

WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 4 PAGE 13.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.

ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009
5. NATIONAL FINANCIAL SERVICES L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 4.46%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.54%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. CITIGROUP GLOBAL MARKETS, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.23%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 2.32%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. LASALLE STREET SECURITIES, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.69%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
8. ARCHIPELAGO TRADING SERVICES, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 2.59%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. NATIXIS BLEICHROEDER, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.42%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.63%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. NYSE EURONEXT
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.46%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.75%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%

WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 5 PAGE 14.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.

ELMHURST, IL 60126-1131

SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009

SECURITIES LISTED ON THE AMERICAN STOCK EXCHANGE 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 68.61%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 28.76%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 2.63%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. KNIGHT CAPITAL MARKETS, L.L.C. 28.32%
2. UBS SECURITIES, L.L.C. 27.03%
3. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 19.66%
4. CITADEL DERIVATIVES GROUP, L.L.C. 19.18%
5. LASALLE STREET SECURITIES, INC. 3.21%
6. ARCHIPELAGO TRADING SERVICES, INC. 1.55%
7. NATIONAL FINANCIAL SERVICES L.L.C. 0.53%
8. DOMESTIC SECURITIES INC. 0.24%
9. NYSE EURONEXT 0.16%
10. BATS, INC. 0.11%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. KNIGHT CAPITAL MARKETS, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 26.20%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 33.49%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 27.00%
2. UBS SECURITIES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 26.93%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 29.73%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
3. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 21.25%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 12.63%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 55.00%
4. CITADEL DERIVATIVES GROUP, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 19.91%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 17.57%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 18.00%

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0KJ PAGE : 6 PAGE 15.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.

ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009
5. LASALLE STREET SECURITIES, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 4.68%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. ARCHIPELAGO TRADING SERVICES, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.54%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 4.12%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. NATIONAL FINANCIAL SERVICES L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.19%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.37%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
8. DOMESTIC SECURITIES INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.08%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.64%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. NYSE EURONEXT
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.12%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.27%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. BATS, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.08%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.18%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%

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0KJ PAGE : 7 PAGE 16.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.

ELMHURST, IL 60126-1131

SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009

EXCHANGE - LISTED OPTIONS
SUMMARY STATISTICS :
NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS 100.00%
MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 13.35%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 86.65%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 0.00%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. THE INTERNATIONAL SECURITIES EXCHANGE 31.62%
2. THE CHICAGO BOARD OPTIONS EXCHANGE 29.60%
3. THE PHILADELPHIA STOCK EXCHANGE 27.50%
4. ARCHIPELAGO TRADING SERVICES, INC. 6.28%
5. THE BOSTON OPTION EXCHANGE 3.31%
6. NYSE ALTERNEXT 0.92%
7. NASDAQ OPTIONS MARKET 0.59%
8. NATIONAL FINANCIAL SERVICES L.L.C. 0.16%
9. XOTC 0.02%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. THE INTERNATIONAL SECURITIES EXCHANGE
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 19.01%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 33.56%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
2. THE CHICAGO BOARD OPTIONS EXCHANGE
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 38.73%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 28.19%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
3. THE PHILADELPHIA STOCK EXCHANGE
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 15.85%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 29.30%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. ARCHIPELAGO TRADING SERVICES, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 8.98%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 5.86%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%

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0KJ PAGE : 8 PAGE 17.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.

ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009
5. THE BOSTON OPTION EXCHANGE
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 11.80%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 2.01%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. NYSE ALTERNEXT
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.99%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.60%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. NASDAQ OPTIONS MARKET
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.46%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.30%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
8. NATIONAL FINANCIAL SERVICES L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.19%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. XOTC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.18%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%

WSF3000740KJ SUPER=0KJ BRANCH=074 DISTCODE=YY
074 PAGE : 1 PAGE 18.01
STERLING INVESTMENT SERVICES,INC
6250 N. RIVER ROAD
SUITE 3005

ROSEMONT, IL 60018
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

SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009

SECURITIES LISTED ON THE NEW YORK STOCK EXCHANGE
SUMMARY STATISTICS :
NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS 100.00%
MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 72.35%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 27.19%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 0.46%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 53.46%
2. CITADEL DERIVATIVES GROUP, L.L.C. 18.43%
3. KNIGHT CAPITAL MARKETS, L.L.C. 14.75%
4. NATIONAL FINANCIAL SERVICES L.L.C. 8.29%
5. UBS SECURITIES, L.L.C. 4.61%
6. NYSE EURONEXT 0.46%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 50.96%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 61.02%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
2. CITADEL DERIVATIVES GROUP, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 17.20%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 22.03%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
3. KNIGHT CAPITAL MARKETS, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 15.92%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 10.17%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 100.00%
4. NATIONAL FINANCIAL SERVICES L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 10.83%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.69%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%



 WSF3000740KJ   SUPER=0KJ   BRANCH=074   DISTCODE=YY
074                                                                 PAGE :    2                                        PAGE    19.01
STERLING INVESTMENT SERVICES,INC
6250 N. RIVER ROAD
SUITE 3005

ROSEMONT, IL 60018
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009
  5. UBS SECURITIES, L.L.C.
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                   5.10%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                   3.39%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%
  6. NYSE EURONEXT
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                   0.00%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                   1.69%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%

WSF3000740KJ SUPER=0KJ BRANCH=074 DISTCODE=YY
074 PAGE : 3 PAGE 20.01
STERLING INVESTMENT SERVICES,INC
6250 N. RIVER ROAD
SUITE 3005

ROSEMONT, IL 60018

SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009

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 73.91%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 21.74%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 4.35%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. KNIGHT EQUITY MARKETS, L.P. 43.48%
2. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 19.57%
3. CITADEL DERIVATIVES GROUP, L.L.C. 13.04%
4. UBS SECURITIES, L.L.C. 13.04%
5. NATIONAL FINANCIAL SERVICES L.L.C. 6.52%
6. NATIXIS BLEICHROEDER, INC. 4.35%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. KNIGHT EQUITY MARKETS, L.P.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 29.41%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 80.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 100.00%
2. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 23.53%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 10.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
3. CITADEL DERIVATIVES GROUP, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 17.65%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. UBS SECURITIES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 14.71%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 10.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
5. NATIONAL FINANCIAL SERVICES L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 8.82%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%



 WSF3000740KJ   SUPER=0KJ   BRANCH=074   DISTCODE=YY
074                                                                 PAGE :    4                                        PAGE    21.01
STERLING INVESTMENT SERVICES,INC
6250 N. RIVER ROAD
SUITE 3005

ROSEMONT, IL 60018
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009
  6. NATIXIS BLEICHROEDER, INC.
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                   5.88%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                   0.00%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%

WSF3000740KJ SUPER=0KJ BRANCH=074 DISTCODE=YY
074 PAGE : 5 PAGE 22.01
STERLING INVESTMENT SERVICES,INC
6250 N. RIVER ROAD
SUITE 3005

ROSEMONT, IL 60018

SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009

SECURITIES LISTED ON THE AMERICAN STOCK EXCHANGE 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 73.44%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 26.56%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 0.00%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. CITADEL DERIVATIVES GROUP, L.L.C. 51.56%
2. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 31.25%
3. UBS SECURITIES, L.L.C. 12.50%
4. KNIGHT CAPITAL MARKETS, L.L.C. 4.69%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. CITADEL DERIVATIVES GROUP, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 57.45%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 35.29%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
2. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 21.28%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 58.82%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
3. UBS SECURITIES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 14.89%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 5.88%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. KNIGHT CAPITAL MARKETS, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 6.38%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%



 WSF3000740KJ   SUPER=0KJ   BRANCH=074   DISTCODE=YY
074                                                                 PAGE :    6                                        PAGE    23.01
STERLING INVESTMENT SERVICES,INC
6250 N. RIVER ROAD
SUITE 3005

ROSEMONT, IL 60018

SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009

EXCHANGE - LISTED OPTIONS
SUMMARY STATISTICS :
 NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS               100.00%
 MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS                   2.84%
 LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS                   97.16%

 OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS                    0.00%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
  1. THE INTERNATIONAL SECURITIES EXCHANGE                                 39.77%
  2. THE CHICAGO BOARD OPTIONS EXCHANGE                                    30.11%
  3. THE PHILADELPHIA STOCK EXCHANGE                                       15.34%
  4. ARCHIPELAGO TRADING SERVICES, INC.                                     7.95%
  5. THE BOSTON OPTION EXCHANGE                                             3.41%
  6. NYSE ALTERNEXT                                                         2.84%
  7. NASDAQ OPTIONS MARKET                                                  0.57%
INFORMATION CONCERNING SIGNIFICANT VENUES :
  1. THE INTERNATIONAL SECURITIES EXCHANGE
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                  20.00%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                  40.35%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%
  2. THE CHICAGO BOARD OPTIONS EXCHANGE
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                   0.00%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                  30.99%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%
  3. THE PHILADELPHIA STOCK EXCHANGE
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                   0.00%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                  15.79%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%
  4. ARCHIPELAGO TRADING SERVICES, INC.
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                   0.00%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                   8.19%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%
  5. THE BOSTON OPTION EXCHANGE
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                  60.00%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                   1.75%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%



 WSF3000740KJ   SUPER=0KJ   BRANCH=074   DISTCODE=YY
074                                                                 PAGE :    7                                        PAGE    24.01
STERLING INVESTMENT SERVICES,INC
6250 N. RIVER ROAD
SUITE 3005

ROSEMONT, IL 60018
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2009
  6. NYSE ALTERNEXT
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                  20.00%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                   2.34%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%
  7. NASDAQ OPTIONS MARKET
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                   0.00%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                   0.58%

       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%
*END OF DATA*