SEC Rule 606 Quarterly Report for the Quarter ending June 30, 2010
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 606 Quarterly Report for the Quarter Ending June 30, 2010
Securities Listed on 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 95.15%
Limit orders as percentage of total non-directed orders 3.88%
Other orders as percentage of total non-directed orders 0.97%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. Citadel Derivatives Group LLC 27.67%
2. Knight Capital Markets, L.L.C. 26.21%
3. National Financial Services, L.L.C. 15.53%
4. Other 14.56%
5. UBS Securities, L.L.C. 11.65%
6. Citigroup Global Markets, Inc. 2.91%
7. Maplewood Investment Advisors, Inc. 1.46%
Information Concerning Significant Venues :
1. Citadel Derivatives Group LLC
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 26.53%
Limit orders as percentage of total limit orders 50.00%
Other orders as percentage of total other orders 50.00%
2. Knight Capital Markets, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 26.53%
Limit orders as percentage of total limit orders 25.00%
Other orders as percentage of total other orders 0.00%
3. National Financial Services, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 16.33%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
4. Other
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 15.31%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
5. UBS Securities, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 10.71%
Limit orders as percentage of total limit orders 25.00%
Other orders as percentage of total other orders 50.00%
6. Citigroup Global Markets, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 3.06%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
7. Maplewood Investment Advisors, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 1.53%
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 96.77%
Limit orders as percentage of total non-directed orders 3.23%
Other orders as percentage of total non-directed orders 0.00%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. Citadel Derivatives Group LLC 32.26%
2. UBS Securities, L.L.C. 25.81%
3. National Financial Services, L.L.C. 24.19%
4. Knight Equity Markets, L.P. 11.29%
5. Citigroup Global Markets, Inc. 4.84%
6. Goldman, Sachs & Co. 1.61%
Information Concerning Significant Venues :
1. Citadel Derivatives Group LLC
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 30.00%
Limit orders as percentage of total limit orders 100.00%
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 26.67%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
3. National Financial Services, 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 0.00%
Other orders as percentage of total other orders 0.00%
4. Knight Equity Markets, L.P.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 11.67%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
5. Citigroup Global Markets, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 5.00%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
6. Goldman, Sachs & Co.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 1.67%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
Securities Listed on NYSE Amex 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 99.65%
Limit orders as percentage of total non-directed orders 0.35%
Other orders as percentage of total non-directed orders 0.00%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. Citadel Derivatives Group LLC 39.86%
2. Knight Capital Markets, L.L.C. 22.38%
3. National Financial Services, L.L.C. 20.98%
4. UBS Securities, L.L.C. 15.03%
5. NYSE Arca 0.70%
6. Maplewood Investment Advisors, Inc. 0.70%
7. GETCO Execution Services L.L.C. 0.35%
Information Concerning Significant Venues :
1. Citadel Derivatives Group LLC
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 40.00%
Limit orders as percentage of total limit orders 0.00%
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 22.11%
Limit orders as percentage of total limit orders 100.00%
Other orders as percentage of total other orders 0.00%
3. National Financial Services, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 21.05%
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 15.09%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
5. NYSE Arca
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.70%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
6. Maplewood Investment Advisors, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.70%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
7. GETCO Execution Services L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.35%
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%
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