SEC Rule 11AC1-6 Quarterly Report for the Quarter ending March 31, 2006
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.
MW2
GOODWIN, BROWNING & LUNA SEC INC
COURTESY OF MAPLEWOOD INVT
7801 ACADEMY BLVD NE
BUILDING 2, SUITE 101
ALBUQUERQUE, NM 87109
SEC Rule 11Ac1-6, Quarterly Report for the Quarter Ending March 31, 2006
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 95.64%
Limit orders as percentage of total non-directed orders 4.36%
Other orders as percentage of total non-directed orders 0.00%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. The Boston Stock Exchange 30.73%
2. The New York Stock Exchange 18.00%
3. Other 16.36%
4. Knight Capital Markets, L.L.C. 12.73%
5. Madoff (Bernard L.) Investment Securities, L 7.82%
6. The Chicago Stock Exchange 5.45%
7. UBS Capital Markets L.P. 3.82%
8. Automated Trading Desk Financial Services, L 3.45%
9. Maplewood Investment Advisors, Inc. 1.09%
10. National Financial Services LLC 0.55%
Information Concerning Significant Venues :
1. The Boston Stock Exchange
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 31.37%
Limit orders as percentage of total limit orders 16.67%
Other orders as percentage of total other orders 0.00%
2. The New York Stock Exchange
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 18.06%
Limit orders as percentage of total limit orders 16.67%
Other orders as percentage of total other orders 0.00%
3. Other
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 14.45%
Limit orders as percentage of total limit orders 58.33%
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 12.93%
Limit orders as percentage of total limit orders 8.33%
Other orders as percentage of total other orders 0.00%
5. Madoff (Bernard L.) Investment Securities, L
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 8.17%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
6. The Chicago Stock Exchange
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 5.70%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
7. UBS Capital Markets L.P.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 3.99%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
8. Automated Trading Desk Financial Services, L
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 3.61%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
9. Maplewood Investment Advisors, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 1.14%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
10. National Financial Services LLC
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.57%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
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 81.29%
Limit orders as percentage of total non-directed orders 18.71%
Other orders as percentage of total non-directed orders 0.00%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. National Financial Services LLC 63.16%
2. Knight Equity Markets, L.P. 30.41%
3. UBS Capital Markets L.P. 2.92%
4. Morgan Stanley & Co. Incorporated 1.75%
5. Automated Trading Desk Financial Services, L 1.17%
6. Madoff (Bernard L.) Investment Securities, L 0.58%
Information Concerning Significant Venues :
1. National Financial Services LLC
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 74.10%
Limit orders as percentage of total limit orders 15.63%
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 17.99%
Limit orders as percentage of total limit orders 84.38%
Other orders as percentage of total other orders 0.00%
3. UBS Capital Markets L.P.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 3.60%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
4. Morgan Stanley & Co. Incorporated
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 2.16%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
5. Automated Trading Desk Financial Services, L
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 1.44%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
6. Madoff (Bernard L.) Investment Securities, L
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.72%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
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 95.12%
Limit orders as percentage of total non-directed orders 4.88%
Other orders as percentage of total non-directed orders 0.00%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. The American Stock Exchange 35.37%
2. The Boston Stock Exchange 19.51%
3. Knight Capital Markets, L.L.C. 14.63%
4. UBS Capital Markets L.P. 13.41%
5. Maplewood Investment Advisors, Inc. 8.54%
6. The Chicago Stock Exchange 7.32%
7. Automated Trading Desk Financial Services, L 1.22%
Information Concerning Significant Venues :
1. The American 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 75.00%
Other orders as percentage of total other orders 0.00%
2. The Boston Stock Exchange
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 20.51%
Limit orders as percentage of total limit orders 0.00%
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 15.38%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
4. UBS Capital Markets L.P.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 14.10%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
5. Maplewood Investment Advisors, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 8.97%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
6. The Chicago Stock Exchange
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 6.41%
Limit orders as percentage of total limit orders 25.00%
Other orders as percentage of total other orders 0.00%
7. Automated Trading Desk Financial Services, L
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 1.28%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
Exchange – Listed Options
Summary Statistics :
Non-directed orders as percentage of total customer orders 0.00%
Market orders as percentage of total non-directed orders 0.00%
Limit orders as percentage of total non-directed orders 0.00%
Other orders as percentage of total non-directed orders 0.00%