0kj-187A-2009-07-31

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0KJ PAGE : 1 PAGE 9.01
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 JUNE 30,2009

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 57.30%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 37.44%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 5.26%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 32.72%
2. KNIGHT CAPITAL MARKETS, L.L.C. 31.40%
3. CITADEL DERIVATIVES GROUP, L.L.C. 13.01%
4. UBS SECURITIES, L.L.C. 9.65%
5. NATIONAL FINANCIAL SERVICES L.L.C. 5.75%
6. NYSE EURONEXT 3.34%
7. LASALLE STREET SECURITIES, INC. 2.20%
8. ARCHIPELAGO TRADING SERVICES, INC. 1.33%
9. DOMESTIC SECURITIES INC. 0.21%
10. CITIGROUP GLOBAL MARKETS, INC. 0.15%
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 31.97%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 29.86%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 61.34%
2. KNIGHT CAPITAL MARKETS, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 31.64%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 30.55%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 34.91%
3. CITADEL DERIVATIVES GROUP, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 12.47%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 15.51%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.98%
4. UBS SECURITIES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 9.67%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 10.59%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.77%

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0KJ PAGE : 2 PAGE 10.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.

ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING JUNE 30,2009
5. NATIONAL FINANCIAL SERVICES L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 9.30%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.12%
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 0.66%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 7.91%
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 3.83%
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 3.55%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. DOMESTIC SECURITIES INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.03%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.53%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. CITIGROUP GLOBAL MARKETS, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.22%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.07%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%

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0KJ PAGE : 3 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 JUNE 30,2009

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 53.25%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 43.72%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 3.02%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 26.26%
2. KNIGHT EQUITY MARKETS, L.P. 25.53%
3. CITADEL DERIVATIVES GROUP, L.L.C. 19.27%
4. UBS SECURITIES, L.L.C. 17.58%
5. NATIONAL FINANCIAL SERVICES L.L.C. 4.10%
6. LASALLE STREET SECURITIES, INC. 3.24%
7. CITIGROUP GLOBAL MARKETS, INC. 1.72%
8. ARCHIPELAGO TRADING SERVICES, INC. 1.70%
9. NATIXIS BLEICHROEDER, INC. 0.24%
10. DIRECT EDGE ECN L.L.C. 0.20%
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 24.49%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 27.88%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 34.23%
2. KNIGHT EQUITY MARKETS, L.P.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 21.36%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 28.43%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 57.05%
3. CITADEL DERIVATIVES GROUP, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 20.26%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 19.29%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.34%
4. UBS SECURITIES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 17.86%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 17.95%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 7.38%

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0KJ PAGE : 4 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 JUNE 30,2009
5. NATIONAL FINANCIAL SERVICES L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 6.63%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.30%
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 6.09%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. CITIGROUP GLOBAL MARKETS, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.89%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.42%
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 3.90%
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 0.23%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.28%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. DIRECT EDGE ECN 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 0.46%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%

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0KJ PAGE : 5 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 JUNE 30,2009

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 64.16%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 32.25%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 3.59%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. KNIGHT CAPITAL MARKETS, L.L.C. 33.66%
2. UBS SECURITIES, L.L.C. 24.43%
3. CITADEL DERIVATIVES GROUP, L.L.C. 20.22%
4. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 15.86%
5. LASALLE STREET SECURITIES, INC. 2.34%
6. ARCHIPELAGO TRADING SERVICES, INC. 2.29%
7. DOMESTIC SECURITIES INC. 0.66%
8. NATIONAL FINANCIAL SERVICES L.L.C. 0.51%
9. BATS, INC. 0.02%
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 34.86%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 33.20%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 16.56%
2. UBS SECURITIES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 25.07%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 24.18%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 15.34%
3. CITADEL DERIVATIVES GROUP, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 21.02%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 20.15%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 6.75%
4. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 14.42%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 13.66%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 61.35%

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0KJ PAGE : 6 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 JUNE 30,2009
5. LASALLE STREET SECURITIES, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.64%
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 0.03%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 7.04%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. DOMESTIC SECURITIES INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.41%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.23%
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 0.52%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.55%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. BATS, INC.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.03%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%

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0KJ PAGE : 7 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 JUNE 30,2009

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 11.80%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 88.20%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 0.00%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. THE PHILADELPHIA STOCK EXCHANGE 34.39%
2. THE CHICAGO BOARD OPTIONS EXCHANGE 27.33%
3. THE INTERNATIONAL SECURITIES EXCHANGE 21.15%
4. ARCHIPELAGO TRADING SERVICES, INC. 11.30%
5. THE BOSTON OPTION EXCHANGE 3.77%
6. NYSE ALTERNEXT 1.42%
7. NASDAQ OPTIONS MARKET 0.41%
8. NASDAQ EXECUTION SERVICES, L.L.C. 0.21%
9. NATIONAL FINANCIAL SERVICES L.L.C. 0.02%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. THE PHILADELPHIA STOCK EXCHANGE
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 16.67%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 36.76%
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 38.18%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 25.88%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
3. THE INTERNATIONAL SECURITIES EXCHANGE
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 17.05%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 21.70%
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 14.53%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 10.86%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%

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0KJ PAGE : 8 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 JUNE 30,2009
5. THE BOSTON OPTION EXCHANGE
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 9.11%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.06%
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 1.55%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.40%
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 1.94%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.21%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
8. NASDAQ EXECUTION SERVICES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.97%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.10%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. 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 0.03%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%

WSF3000740KJ SUPER=0KJ BRANCH=074 DISTCODE=YY
074 PAGE : 1 PAGE 17.01
NATIONAL FINANCIAL SERVICES,LLC
P.O. BOX 770002

CINCINNATI OH 45277-0094
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 JUNE 30,2009

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 61.54%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 38.46%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 0.00%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 42.31%
2. KNIGHT CAPITAL MARKETS, L.L.C. 30.77%
3. CITADEL DERIVATIVES GROUP, L.L.C. 15.38%
4. UBS SECURITIES, L.L.C. 7.69%
5. NATIONAL FINANCIAL SERVICES L.L.C. 3.85%
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 43.75%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 40.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
2. KNIGHT CAPITAL MARKETS, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 25.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 40.00%
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 18.75%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 10.00%
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 6.25%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 10.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%



 WSF3000740KJ   SUPER=0KJ   BRANCH=074   DISTCODE=YY
074                                                                 PAGE :    2                                        PAGE    18.01
NATIONAL FINANCIAL SERVICES,LLC
P.O. BOX 770002

CINCINNATI OH 45277-0094
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING JUNE 30,2009
  5. NATIONAL FINANCIAL SERVICES L.L.C.
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                   6.25%
       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 : 3 PAGE 19.01
NATIONAL FINANCIAL SERVICES,LLC
P.O. BOX 770002

CINCINNATI OH 45277-0094

SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING JUNE 30,2009

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 41.18%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 58.82%

OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 0.00%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 52.94%
2. KNIGHT EQUITY MARKETS, L.P. 23.53%
3. CITADEL DERIVATIVES GROUP, L.L.C. 17.65%
4. UBS SECURITIES, L.L.C. 5.88%
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 57.14%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 50.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
2. KNIGHT EQUITY MARKETS, L.P.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 40.00%
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 42.86%
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 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 10.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%

WSF3000740KJ SUPER=0KJ BRANCH=074 DISTCODE=YY
074 PAGE : 4 PAGE 20.01
NATIONAL FINANCIAL SERVICES,LLC
P.O. BOX 770002

CINCINNATI OH 45277-0094

SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING JUNE 30,2009

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 92.86%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 7.14%

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. 50.00%
2. UBS SECURITIES, L.L.C. 28.57%
3. AUTOMATED TRADING DESK FINANCIAL SERVICES, L.L.C. 21.43%
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 53.85%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
2. UBS SECURITIES, L.L.C.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 23.08%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 100.00%
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 23.08%
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    21.01
NATIONAL FINANCIAL SERVICES,LLC
P.O. BOX 770002

CINCINNATI OH 45277-0094

SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING JUNE 30,2009

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                   6.52%
 LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS                   93.48%

 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                                 34.78%
  2. ARCHIPELAGO TRADING SERVICES, INC.                                    28.26%
  3. THE CHICAGO BOARD OPTIONS EXCHANGE                                    28.26%
  4. THE PHILADELPHIA STOCK EXCHANGE                                        8.70%
INFORMATION CONCERNING SIGNIFICANT VENUES :
  1. THE INTERNATIONAL SECURITIES 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                  37.21%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%
  2. ARCHIPELAGO TRADING SERVICES, INC.
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                  33.33%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                  27.91%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%
  3. THE CHICAGO BOARD OPTIONS EXCHANGE
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                  33.33%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                  27.91%
       OTHER  ORDERS AS PERCENTAGE OF TOTAL OTHER  ORDERS                   0.00%
  4. THE PHILADELPHIA STOCK EXCHANGE
      TYPES OF ORDERS ROUTED TO VENUE :
       MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS                  33.33%
       LIMIT  ORDERS AS PERCENTAGE OF TOTAL LIMIT  ORDERS                   6.98%

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