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2026Q2 2026Q1

CRD #136131 Review Period: 2026Q2 Filing: Direct 606 filer

ALLY INVEST SECURITIES LLC (CRD #136131) — Quarterly Rule 606 vs. Amended Rule 605 Competing Market Review

Name: ALLY INVEST SECURITIES LLC (CRD #136131) 2026Q2 Execution Quality Benchmark
Creator: Execution Reports
License: https://executionreports.com/methodology

• 0 COMPETING-MARKET EXCEPTIONS DETECTED (>1.0 BPS THRESHOLD)

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Primary Routed Venues (606)

1. Virtu Americas, LLC(504.3%)

2. CITADEL SECURITIES LLC(324.3%)

3. G1 Execution Services, LLC(179.7%)

Top routed order shares

Disclosed PFOF / Rebates

$1,914,220.88

Avg 24.68 ¢

Competing-Market Exceptions

0 of 0

Scored cells with >1.0 bps shortfall

Data Coverage

0 mo • 0 builds

Amended 605 builds

Rule 5310.09 Exceptions Preview (0 Total)

All scored order size and routing buckets where venue net price improvement trailed mix-adjusted peers by > 1.0 bps.

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No statistically significant competing-market shortfalls exceeding 1.0 bps were detected in this quarter’s scored cells.

FINRA Rule 5310.09 Review Packet

ALLY INVEST SECURITIES LLC

CRD Number: 136131 • Quarter: 2026Q2 • Generated: Wed, 14 Oct 2026 20:19:44 GMT

Methodology: exq-2

Status: CLOSED QUARTER

Resolved Rule 606 Source Filings

Author / Clearing Firm	CRD	Variant / Context	Version	SHA-256 Digest	Source Document
Ally Invest Securities LLC – Order flow via Apex Clearing	136131	APEXFLOW	V1	586bf414ee40700d0bb739493d4d85915fc0acf585b05dfbccce180807e2611d	Download XML ↗
Ally Invest Securities LLC	136131	ALLY-SELF	V1	06e581c56487b8438ac85cacbec78981e8af4fca74b9997f8528626a60685971	Download XML ↗

1. SEC Rule 606(a)(1) Order Routing

Quarterly non-directed customer order routing shares and net PFOF/rebates by section and venue.

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Month	Section	Execution Venue	605 Reporter	Route %	Market %	Mkt Limit %	Non-Mkt %	PFOF Mkt (¢/100)	PFOF Limit (¢/100)
202604	options	Wolverine Execution Services, LLC	Unmapped	31.8%	29.4%	26.5%	32.5%	49.66 ¢	49.66 ¢
202604	options	Dash/IMC Financial Markets	Unmapped	26.9%	30.1%	31.5%	24.8%	49.56 ¢	49.65 ¢
202604	options	CITADEL SECURITIES LLC	CDRG	26.1%	20.1%	21.2%	26.5%	49.49 ¢	49.70 ¢
202604	options	Global Execution Brokers LP	Unmapped	15.2%	20.3%	20.8%	16.2%	49.25 ¢	49.72 ¢
202604	other_stocks	CITADEL SECURITIES LLC	CDRG	29.2%	25.0%	31.4%	30.7%	22.70 ¢	20.42 ¢
202604	other_stocks	G1 Execution Services, LLC	ETMM	27.2%	24.9%	23.9%	28.6%	23.40 ¢	23.98 ¢
202604	other_stocks	Virtu Americas, LLC	NITE	26.4%	24.9%	22.0%	27.2%	21.71 ¢	22.24 ¢
202604	other_stocks	Two Sigma Securities, LLC	Unmapped	11.3%	20.1%	17.9%	7.3%	22.14 ¢	23.26 ¢
202604	other_stocks	StoneX Financial, Inc.	Unmapped	5.8%	5.0%	4.8%	6.3%	21.59 ¢	22.00 ¢
202604	sp500	CITADEL SECURITIES LLC	CDRG	29.0%	25.0%	31.8%	30.2%	23.33 ¢	18.11 ¢
202604	sp500	G1 Execution Services, LLC	ETMM	27.7%	25.1%	24.5%	28.9%	22.13 ¢	22.00 ¢
202604	sp500	Virtu Americas, LLC	NITE	26.8%	24.9%	21.5%	27.5%	22.51 ¢	22.77 ¢
202604	sp500	Two Sigma Securities, LLC	Unmapped	10.7%	19.8%	17.5%	7.2%	22.62 ¢	22.92 ¢
202604	sp500	StoneX Financial, Inc.	Unmapped	5.9%	5.2%	4.7%	6.3%	21.67 ¢	22.01 ¢
202605	options	Wolverine Execution Services, LLC	Unmapped	30.9%	29.1%	26.3%	32.0%	49.52 ¢	49.78 ¢
202605	options	CITADEL SECURITIES LLC	CDRG	27.8%	20.3%	21.3%	26.2%	49.48 ¢	49.76 ¢
202605	options	Dash/IMC Financial Markets	Unmapped	24.6%	30.1%	31.4%	25.1%	49.56 ¢	49.79 ¢
202605	options	Global Execution Brokers LP	Unmapped	16.7%	20.4%	21.0%	16.6%	49.58 ¢	49.86 ¢
202605	other_stocks	CITADEL SECURITIES LLC	CDRG	28.9%	25.1%	31.3%	30.4%	22.69 ¢	19.97 ¢
202605	other_stocks	G1 Execution Services, LLC	ETMM	27.2%	25.1%	23.8%	28.4%	23.27 ¢	22.87 ¢
202605	other_stocks	Virtu Americas, LLC	NITE	26.3%	24.9%	21.8%	27.0%	22.02 ¢	21.77 ¢
202605	other_stocks	Two Sigma Securities, LLC	Unmapped	11.8%	19.9%	18.2%	8.0%	22.46 ¢	21.78 ¢
202605	other_stocks	StoneX Financial, Inc.	Unmapped	5.8%	5.0%	4.9%	6.3%	21.55 ¢	22.00 ¢
202605	sp500	CITADEL SECURITIES LLC	CDRG	29.2%	25.0%	33.1%	30.6%	22.99 ¢	19.72 ¢
202605	sp500	G1 Execution Services, LLC	ETMM	27.4%	24.7%	23.0%	28.8%	22.20 ¢	22.65 ¢
202605	sp500	Virtu Americas, LLC	NITE	26.7%	25.0%	21.8%	27.2%	22.45 ¢	23.85 ¢
202605	sp500	Two Sigma Securities, LLC	Unmapped	10.8%	20.3%	17.6%	7.3%	22.56 ¢	24.47 ¢
202605	sp500	StoneX Financial, Inc.	Unmapped	5.8%	5.0%	4.6%	6.2%	21.82 ¢	22.00 ¢
202606	options	CITADEL SECURITIES LLC	CDRG	32.0%	25.1%	26.3%	33.0%	49.69 ¢	49.83 ¢
202606	options	Wolverine Execution Services, LLC	Unmapped	27.7%	24.9%	22.6%	26.9%	49.71 ¢	49.77 ¢
202606	options	Dash/IMC Financial Markets	Unmapped	20.8%	24.8%	25.4%	19.9%	49.71 ¢	49.35 ¢
202606	options	Global Execution Brokers LP	Unmapped	19.4%	25.3%	25.8%	20.1%	49.72 ¢	49.74 ¢
202606	other_stocks	CITADEL SECURITIES LLC	CDRG	30.2%	25.8%	32.2%	31.9%	22.88 ¢	20.05 ¢
202606	other_stocks	Virtu Americas, LLC	NITE	27.5%	25.7%	22.8%	28.4%	21.58 ¢	21.01 ¢
202606	other_stocks	G1 Execution Services, LLC	ETMM	24.6%	23.2%	21.3%	25.6%	23.43 ¢	22.87 ¢
202606	other_stocks	Two Sigma Securities, LLC	Unmapped	12.7%	20.8%	19.4%	8.7%	21.99 ¢	20.80 ¢
202606	other_stocks	StoneX Financial, Inc.	Unmapped	5.0%	4.5%	4.3%	5.3%	21.55 ¢	22.03 ¢
202606	sp500	CITADEL SECURITIES LLC	CDRG	30.1%	25.6%	32.7%	31.6%	23.73 ¢	20.48 ¢
202606	sp500	Virtu Americas, LLC	NITE	27.6%	25.5%	22.8%	28.4%	22.80 ¢	25.22 ¢
202606	sp500	G1 Execution Services, LLC	ETMM	25.6%	23.8%	22.2%	26.6%	22.30 ¢	25.77 ¢
202606	sp500	Two Sigma Securities, LLC	Unmapped	11.5%	20.5%	17.9%	8.0%	23.06 ¢	24.71 ¢
202606	sp500	StoneX Financial, Inc.	Unmapped	5.2%	4.6%	4.3%	5.5%	21.72 ¢	22.00 ¢
202604	other_stocks	Virtu Americas, LLC	NITE	35.5%	35.5%	0.0%	0.0%	18.41 ¢	0.00 ¢
202604	other_stocks	GTS SECURITIES LLC	Unmapped	15.8%	15.8%	0.0%	0.0%	18.04 ¢	0.00 ¢
202604	other_stocks	Hudson River Trading (HRT)	HRTF	14.3%	14.3%	0.0%	0.0%	18.05 ¢	0.00 ¢
202604	other_stocks	CITADEL SECURITIES LLC	CDRG	13.3%	13.3%	0.0%	0.0%	18.13 ¢	0.00 ¢
202604	other_stocks	Jane Street Capital	JNST	11.4%	11.4%	0.0%	0.0%	18.04 ¢	0.00 ¢
202604	other_stocks	G1 Execution Services, LLC	ETMM	5.8%	5.8%	0.0%	0.0%	18.06 ¢	0.00 ¢
202604	other_stocks	Canaccord Capital Corporation	Unmapped	3.8%	3.8%	0.0%	0.0%	18.04 ¢	0.00 ¢
202604	sp500	Virtu Americas, LLC	NITE	98.7%	98.7%	0.0%	0.0%	17.75 ¢	0.00 ¢
202604	sp500	Canaccord Capital Corporation	Unmapped	1.3%	1.3%	0.0%	0.0%	18.00 ¢	0.00 ¢
202605	other_stocks	Virtu Americas, LLC	NITE	33.5%	33.5%	0.0%	0.0%	18.10 ¢	0.00 ¢
202605	other_stocks	GTS SECURITIES LLC	Unmapped	15.0%	15.0%	0.0%	0.0%	18.07 ¢	0.00 ¢
202605	other_stocks	CITADEL SECURITIES LLC	CDRG	14.8%	14.8%	0.0%	0.0%	18.12 ¢	0.00 ¢
202605	other_stocks	Jane Street Capital	JNST	14.0%	14.0%	0.0%	0.0%	18.07 ¢	0.00 ¢
202605	other_stocks	Hudson River Trading (HRT)	HRTF	12.8%	12.8%	0.0%	0.0%	18.07 ¢	0.00 ¢
202605	other_stocks	G1 Execution Services, LLC	ETMM	6.1%	6.1%	0.0%	0.0%	18.07 ¢	0.00 ¢
202605	other_stocks	Canaccord Capital Corporation	Unmapped	3.9%	3.9%	0.0%	0.0%	18.05 ¢	0.00 ¢
202605	sp500	Virtu Americas, LLC	NITE	56.7%	56.7%	0.0%	0.0%	18.01 ¢	0.00 ¢
202605	sp500	GTS SECURITIES LLC	Unmapped	13.4%	13.4%	0.0%	0.0%	18.00 ¢	0.00 ¢
202605	sp500	CITADEL SECURITIES LLC	CDRG	11.0%	11.0%	0.0%	0.0%	18.00 ¢	0.00 ¢
202605	sp500	Hudson River Trading (HRT)	HRTF	11.0%	11.0%	0.0%	0.0%	18.00 ¢	0.00 ¢
202605	sp500	Jane Street Capital	JNST	5.5%	5.5%	0.0%	0.0%	18.00 ¢	0.00 ¢
202605	sp500	G1 Execution Services, LLC	ETMM	1.6%	1.6%	0.0%	0.0%	18.00 ¢	0.00 ¢
202605	sp500	Canaccord Capital Corporation	Unmapped	0.8%	0.8%	0.0%	0.0%	18.00 ¢	0.00 ¢
202606	other_stocks	Virtu Americas, LLC	NITE	33.5%	33.5%	0.0%	0.0%	18.45 ¢	0.00 ¢
202606	other_stocks	Jane Street Capital	JNST	17.5%	17.5%	0.0%	0.0%	18.08 ¢	0.00 ¢
202606	other_stocks	CITADEL SECURITIES LLC	CDRG	16.3%	16.3%	0.0%	0.0%	18.18 ¢	0.00 ¢
202606	other_stocks	GTS SECURITIES LLC	Unmapped	12.0%	12.0%	0.0%	0.0%	18.16 ¢	0.00 ¢
202606	other_stocks	Hudson River Trading (HRT)	HRTF	11.7%	11.7%	0.0%	0.0%	18.07 ¢	0.00 ¢
202606	other_stocks	G1 Execution Services, LLC	ETMM	5.5%	5.5%	0.0%	0.0%	18.03 ¢	0.00 ¢
202606	other_stocks	Canaccord Capital Corporation	Unmapped	3.5%	3.5%	0.0%	0.0%	18.03 ¢	0.00 ¢
202606	sp500	Virtu Americas, LLC	NITE	85.1%	85.1%	0.0%	0.0%	18.03 ¢	0.00 ¢
202606	sp500	CITADEL SECURITIES LLC	CDRG	6.4%	6.4%	0.0%	0.0%	18.00 ¢	0.00 ¢
202606	sp500	GTS SECURITIES LLC	Unmapped	5.3%	5.3%	0.0%	0.0%	18.00 ¢	0.00 ¢
202606	sp500	Hudson River Trading (HRT)	HRTF	2.1%	2.1%	0.0%	0.0%	18.30 ¢	0.00 ¢
202606	sp500	G1 Execution Services, LLC	ETMM	1.1%	1.1%	0.0%	0.0%	18.00 ¢	0.00 ¢

2. Venue Scorecards (Amended Rule 605)

Execution quality metrics for routed venues benchmarked against mix-adjusted competitors on identical symbols and size tiers.

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Month	Venue	Class	Notional × Lot	Fill Rate	PI Rate	NPI (bps)	Peer Bench (bps)	Coverage	Rank Pctl	Eff Spread	Speed <1s

3. Routing-Weighted Composite Quality

Implied execution quality achieved by the firm’s routing mix across the 24 amended size tiers, compared against the best and median competing venues.

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Month	Class	Notional × Lot	Metric	Firm Composite	Best Competing	Best Venue	Median Competing	Mapped Flow

4. Payment for Order Flow vs. Execution Quality

Addresses FINRA 5310.09 conflicts: comparing PFOF received (¢/100 sh) against net price improvement shortfall vs mix-adjusted peers.

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Month	Venue	Order Class	Route %	606 Net PFOF (¢/100)	NPI (bps)	Peer Bench (bps)	Delta (bps)	Ref Price	Delta (¢/100 sh)	Conflict Flag

Conflict Methodology Note: Quality delta (¢/100 sh) is estimated as Δ_bps × ref_price. A positive PFOF beside a negative delta indicates the firm received payment while the venue delivered less price improvement than competing market centers on identical symbols and size tiers.

5. Material Changes Since Prior Quarter

Changes in routing share (≥ 5 pp), newly added/dropped venues, and PFOF rate shifts since 2026Q1.

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No material shifts (≥ 5 percentage point route share or PFOF rate change) detected relative to 2026Q1.

6. Coverage, Exclusions & Standing Limitations

Mandatory regulatory disclosure of data availability, unmapped destinations, and methodological caveats.

Suppressed Cells

Cells with < 100 covered orders

Unmapped Venues

606 destinations without 605 match

Challenged / Missing 605

Venues missing monthly 605 report

Unmapped Routing Destinations:

Canaccord Capital Corporation (name:CANACCORD CAPITAL), GTS SECURITIES LLC (name:GTS SECURITIES), StoneX Financial, Inc. (name:STONEX FINANCIAL), Two Sigma Securities, LLC (name:TWO SIGMA SECURITIES)

Standing Review Limitations:

A venue's Rule 605 statistics describe all flow it handled, not this firm's orders.
606 route shares are per order, not per share, and list only the top 10 venues plus any venue with at least 5% of non-directed orders.
FINRA Rule 5310.09 also requires the firm's own order-level review of its executions.
This report is not legal or compliance advice.
Net price improvement is in basis points of executed notional (quote midpoint × shares). The PFOF comparison converts the difference to ¢/100 sh at the venue's average executed price; it is an estimate.