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Rule 605 Market Center Scorecard
UBS SECURITIES, LLC
MPID Firm: UBS Securities LLC(UBSS) • Location: TRADING DEPARTMENT
Status: ACTIVE
Generated: Wed, 14 Oct 2026 18:30:45 GMT
Quarter:2026Q3
Covered Orders6,074,170Across all reported tiers
Covered Shares2,065,166,086In Q3 2026
Active Tiers84Order class × notional buckets
Routing Brokers5Disclosed in 606 filings
1. Amended Rule 605 Scorecard vs. Mix-Adjusted Peers — 2026-08
Execution metrics across order classes and the 24 notional × lot categories, benchmarked against what competing market centers delivered on identical symbols.
| Class | Notional × Lot | Orders | Covered Sh | Fill Rate | PI Rate | NPI (bps) | Peer Bench (bps) | Coverage | Rank Pctl | Eff Spread | Speed <1s |
|---|---|---|---|---|---|---|---|---|---|---|---|
| market | <$250 • ODD | 357,351 | 2,055,612 | 92.5% | 91.6% | 7.5 bps | 8.3 bps | 61% | 54th | $0.0165 | 99.8% |
| market | <$250 • ROUND | 10,132 | 2,108,169 | 95.0% | 96.3% | 23.4 bps | 20.7 bps | 17% | 46th | $0.0028 | 99.8% |
| market | $250–$999 • ODD | 267,366 | 3,870,023 | 90.9% | 94.8% | 5.2 bps | 4.5 bps | 46% | 45th | $0.0210 | 99.9% |
| market | $250–$999 • ROUND | 37,456 | 14,713,909 | 90.8% | 90.3% | 16.9 bps | 17.8 bps | 40% | 65th | $0.0045 | 99.8% |
| market | $1k–$5k • ODD | 269,144 | 8,288,492 | 90.6% | 93.9% | 4.0 bps | 3.6 bps | 58% | 50th | $0.0280 | 100.0% |
| market | $1k–$5k • ROUND | 119,165 | 95,866,365 | 87.9% | 82.3% | 8.5 bps | 7.4 bps | 59% | 65th | $0.0048 | 99.9% |
| market | $5k–$10k • ODD | 59,052 | 2,875,985 | 92.7% | 93.6% | 3.7 bps | 3.0 bps | 54% | 56th | $0.0502 | 100.0% |
| market | $5k–$10k • ROUND | 88,981 | 72,145,272 | 86.8% | 81.3% | 5.4 bps | 3.0 bps | 25% | 63rd | $0.0071 | 99.9% |
| market | $10k–$20k • ODD | 19,435 | 1,073,873 | 94.6% | 93.3% | 4.1 bps | 3.6 bps | 54% | 59th | $0.0880 | 100.0% |
| market | $10k–$20k • ROUND | 97,193 | 75,778,024 | 86.9% | 84.4% | 4.2 bps | 2.4 bps | 23% | 61st | $0.0110 | 99.9% |
| market | $20k–$50k • ODD | 1,953 | 123,742 | 94.9% | 94.3% | 3.2 bps | 0.3 bps | 33% | 45th | $0.1268 | 100.0% |
| market | $20k–$50k • ROUND | 99,676 | 115,286,793 | 86.6% | 84.8% | 3.4 bps | 2.4 bps | 30% | 63rd | $0.0133 | 99.8% |
| market | $50k–$200k • ROUND | 61,360 | 175,099,465 | 85.8% | 81.5% | 2.1 bps | 2.3 bps | 44% | 58th | $0.0172 | 98.0% |
| market | ≥$200k • ROUND | 11,870 | 104,828,961 | 74.2% | 48.9% | -0.6 bps | -0.2 bps | 12% | 43rd | $0.0500 | 92.2% |
| marketable_limit | <$250 • ODD | 87,550 | 784,064 | 93.7% | 89.5% | 8.6 bps | -37.7 bps | 43% | 75th | $0.0135 | 99.8% |
| marketable_limit | <$250 • ROUND | 8,047 | 2,123,540 | 92.8% | 89.1% | 21.7 bps | -35.3 bps | 10% | 75th | $0.0022 | 99.9% |
| marketable_limit | $250–$999 • ODD | 42,367 | 985,044 | 91.6% | 86.2% | 5.1 bps | -20.2 bps | 31% | 73rd | $0.0280 | 99.9% |
| marketable_limit | $250–$999 • ROUND | 22,837 | 10,929,942 | 91.9% | 88.5% | 14.5 bps | -56.5 bps | 23% | 78th | $0.0041 | 99.5% |
| marketable_limit | $1k–$5k • ODD | 37,614 | 1,242,350 | 89.8% | 85.4% | 3.0 bps | -8.1 bps | 35% | 65th | $0.0549 | 99.9% |
| marketable_limit | $1k–$5k • ROUND | 53,297 | 52,807,527 | 86.5% | 78.1% | 7.4 bps | -16.8 bps | 28% | 68th | $0.0056 | 99.4% |
| marketable_limit | $5k–$10k • ODD | 8,545 | 406,005 | 90.2% | 87.3% | 2.6 bps | -9.2 bps | 43% | 70th | $0.1036 | 100.0% |
| marketable_limit | $5k–$10k • ROUND | 29,049 | 45,059,465 | 83.3% | 72.1% | 4.7 bps | -5.3 bps | 16% | 70th | $0.0081 | 98.9% |
| marketable_limit | $10k–$20k • ODD | 2,701 | 150,749 | 94.5% | 87.2% | 2.6 bps | -4.0 bps | 35% | 61st | $0.2243 | 100.0% |
| marketable_limit | $10k–$20k • ROUND | 27,444 | 56,557,675 | 83.8% | 72.0% | 3.9 bps | -3.9 bps | 30% | 74th | $0.0095 | 98.1% |
| marketable_limit | $20k–$50k • ODD | 222 | 15,676 | 96.0% | 88.1% | 1.9 bps | — | 0% | 57th | $0.4044 | 100.0% |
| marketable_limit | $20k–$50k • ROUND | 30,662 | 114,163,142 | 82.9% | 61.2% | 2.5 bps | -2.7 bps | 48% | 66th | $0.0110 | 98.1% |
| marketable_limit | $50k–$200k • ROUND | 22,850 | 173,444,865 | 76.9% | 43.6% | 1.1 bps | -2.3 bps | 54% | 67th | $0.0138 | 96.6% |
| marketable_limit | ≥$200k • ROUND | 4,928 | 99,505,156 | 56.9% | 32.2% | -0.9 bps | -3.2 bps | 8% | 24th | $0.0304 | 81.8% |
| nonmarketable_limit | <$250 • ODD | 953,178 | 19,163,946 | 30.5% | 100.0% | 52.4 bps | 114.5 bps | 92% | 92nd | $0.0396 | 84.2% |
| nonmarketable_limit | <$250 • ROUND | 120,319 | 14,367,149 | 3.6% | 100.0% | 66.5 bps | 60.3 bps | 38% | 59th | $0.0027 | 46.9% |
| nonmarketable_limit | $250–$999 • ODD | 256,283 | 6,034,553 | 18.0% | 100.0% | 19.3 bps | 50.2 bps | 53% | 66th | $0.0683 | 38.3% |
| nonmarketable_limit | $250–$999 • ROUND | 182,086 | 32,852,022 | 4.0% | 100.0% | 54.8 bps | 105.6 bps | 30% | 63rd | $0.0065 | 44.1% |
| nonmarketable_limit | $1k–$5k • ODD | 216,046 | 6,025,155 | 30.5% | 100.0% | 19.8 bps | 56.5 bps | 62% | 80th | $0.1730 | 54.1% |
| nonmarketable_limit | $1k–$5k • ROUND | 169,650 | 75,967,888 | 7.5% | 100.0% | 27.4 bps | 66.0 bps | 21% | 56th | $0.0148 | 37.6% |
| nonmarketable_limit | $5k–$10k • ODD | 74,883 | 3,464,879 | 25.6% | 100.0% | 21.4 bps | 63.2 bps | 71% | 85th | $0.3612 | 70.6% |
| nonmarketable_limit | $5k–$10k • ROUND | 72,751 | 70,787,592 | 6.4% | 100.0% | 17.9 bps | 35.7 bps | 12% | 56th | $0.0259 | 33.4% |
| nonmarketable_limit | $10k–$20k • ODD | 42,672 | 2,254,728 | 22.1% | 100.0% | 19.5 bps | 49.7 bps | 78% | 81st | $0.5666 | 76.2% |
| nonmarketable_limit | $10k–$20k • ROUND | 73,818 | 75,749,841 | 6.8% | 100.0% | 13.3 bps | 35.4 bps | 14% | 48th | $0.0384 | 29.5% |
| nonmarketable_limit | $20k–$50k • ODD | 8,493 | 519,724 | 18.6% | 100.0% | 19.5 bps | 32.3 bps | 74% | 71st | $1.1697 | 83.7% |
| nonmarketable_limit | $20k–$50k • ROUND | 54,363 | 97,074,897 | 7.7% | 100.0% | 11.3 bps | 38.7 bps | 14% | 58th | $0.0540 | 27.5% |
| nonmarketable_limit | $50k–$200k • ROUND | 31,755 | 129,096,866 | 10.7% | 100.0% | 9.9 bps | 28.5 bps | 13% | 59th | $0.0649 | 26.3% |
| nonmarketable_limit | ≥$200k • ROUND | 7,034 | 88,796,560 | 21.8% | 100.0% | 7.1 bps | 23.1 bps | 7% | 63rd | $0.0488 | 25.6% |
| market | <$250 • ODD | 98,369 | 158,525 | 84.4% | 96.8% | 2.8 bps | 3.1 bps | 94% | 57th | $0.0123 | 100.0% |
| market | $250–$999 • ODD | 257,042 | 1,016,338 | 89.9% | 97.2% | 2.7 bps | 3.2 bps | 96% | 48th | $0.0207 | 100.0% |
| market | $250–$999 • ROUND | 7 | 754 | — | — | — | — | — | — | — | — |
| market | $1k–$5k • ODD | 369,535 | 5,085,674 | 92.1% | 95.3% | 2.5 bps | 3.2 bps | 97% | 46th | $0.0310 | 100.0% |
| market | $1k–$5k • ROUND | 9,814 | 1,207,901 | 92.3% | 99.3% | 1.7 bps | 2.0 bps | 81% | 42nd | $0.0029 | 100.0% |
| market | $5k–$10k • ODD | 128,152 | 3,663,318 | 92.6% | 94.2% | 2.4 bps | 2.9 bps | 86% | 37th | $0.0452 | 100.0% |
| market | $5k–$10k • ROUND | 18,252 | 3,074,881 | 92.5% | 99.4% | 1.6 bps | 1.6 bps | 71% | 46th | $0.0047 | 100.0% |
| market | $10k–$20k • ODD | 66,881 | 2,609,930 | 92.6% | 93.8% | 2.4 bps | 2.8 bps | 85% | 43rd | $0.0669 | 100.0% |
| market | $10k–$20k • ROUND | 47,565 | 7,603,629 | 91.9% | 98.7% | 2.0 bps | 2.1 bps | 70% | 42nd | $0.0136 | 100.0% |
| market | $20k–$50k • ODD | 18,652 | 748,996 | 93.5% | 94.2% | 3.0 bps | 3.6 bps | 84% | 52nd | $0.1547 | 100.0% |
| market | $20k–$50k • ROUND | 89,023 | 19,208,107 | 92.1% | 98.7% | 2.0 bps | 2.2 bps | 77% | 51st | $0.0230 | 100.0% |
| market | $50k–$200k • ODD | 270 | 9,850 | 93.4% | 93.4% | 3.2 bps | 4.0 bps | 90% | 42nd | $0.3753 | 100.0% |
| market | $50k–$200k • ROUND | 70,419 | 37,572,026 | 92.3% | 97.9% | 2.3 bps | 2.6 bps | 74% | 50th | $0.0363 | 100.0% |
| market | ≥$200k • ROUND | 14,890 | 34,328,099 | 87.7% | 75.3% | 0.7 bps | 0.5 bps | 45% | 49th | $0.1130 | 99.4% |
| marketable_limit | <$250 • ODD | 11,211 | 20,453 | 86.5% | 97.3% | 2.2 bps | -4.7 bps | 44% | 77th | $0.0151 | 100.0% |
| marketable_limit | $250–$999 • ODD | 25,984 | 126,671 | 91.9% | 94.3% | 1.8 bps | -3.7 bps | 55% | 59th | $0.0332 | 100.0% |
| marketable_limit | $250–$999 • ROUND | 6 | 619 | — | — | — | — | — | — | — | — |
| marketable_limit | $1k–$5k • ODD | 46,739 | 683,244 | 93.3% | 91.0% | 1.5 bps | -4.2 bps | 71% | 45th | $0.0748 | 100.0% |
| marketable_limit | $1k–$5k • ROUND | 3,519 | 407,276 | 91.0% | 96.8% | 1.1 bps | -12.3 bps | 67% | 55th | $0.0055 | 100.0% |
| marketable_limit | $5k–$10k • ODD | 19,207 | 561,596 | 94.0% | 91.8% | 1.3 bps | -5.0 bps | 61% | 47th | $0.1274 | 100.0% |
| marketable_limit | $5k–$10k • ROUND | 5,695 | 851,968 | 91.5% | 96.3% | 0.8 bps | -6.9 bps | 51% | 55th | $0.0096 | 100.0% |
| marketable_limit | $10k–$20k • ODD | 10,781 | 426,702 | 94.7% | 91.6% | 1.3 bps | -3.9 bps | 58% | 46th | $0.1901 | 100.0% |
| marketable_limit | $10k–$20k • ROUND | 12,022 | 1,953,540 | 92.2% | 96.2% | 1.2 bps | -5.1 bps | 55% | 47th | $0.0305 | 100.0% |
| marketable_limit | $20k–$50k • ODD | 2,843 | 115,436 | 95.4% | 92.2% | 1.7 bps | -0.0 bps | 57% | 52nd | $0.3903 | 100.0% |
| marketable_limit | $20k–$50k • ROUND | 28,159 | 5,453,935 | 92.6% | 96.9% | 0.8 bps | -3.8 bps | 62% | 38th | $0.0494 | 99.9% |
| marketable_limit | $50k–$200k • ODD | 32 | 1,085 | — | — | — | — | — | — | — | — |
| marketable_limit | $50k–$200k • ROUND | 18,369 | 9,238,196 | 94.3% | 93.9% | 0.9 bps | -3.2 bps | 46% | 47th | $0.0718 | 99.7% |
| marketable_limit | ≥$200k • ROUND | 3,956 | 14,635,085 | 77.2% | 59.4% | 0.1 bps | -4.4 bps | 25% | 55th | $0.0973 | 95.0% |
| nonmarketable_limit | <$250 • ODD | 42,032 | 129,105 | 20.5% | 100.0% | 5.1 bps | 19.7 bps | 82% | 62nd | $0.0401 | 35.7% |
| nonmarketable_limit | $250–$999 • ODD | 128,693 | 1,254,700 | 16.9% | 100.0% | 4.2 bps | 22.4 bps | 86% | 56th | $0.0655 | 38.7% |
| nonmarketable_limit | $250–$999 • ROUND | 10 | 1,000 | — | — | — | — | — | — | — | — |
| nonmarketable_limit | $1k–$5k • ODD | 146,699 | 1,669,007 | 50.6% | 100.0% | 3.9 bps | 25.6 bps | 87% | 43rd | $0.0821 | 53.2% |
| nonmarketable_limit | $1k–$5k • ROUND | 15,810 | 1,782,166 | 2.9% | 100.0% | 4.4 bps | 16.3 bps | 76% | 69th | $0.0059 | 27.4% |
| nonmarketable_limit | $5k–$10k • ODD | 57,533 | 1,406,542 | 49.2% | 100.0% | 4.0 bps | 27.2 bps | 81% | 47th | $0.1078 | 59.6% |
| nonmarketable_limit | $5k–$10k • ROUND | 8,333 | 1,463,864 | 8.9% | 100.0% | 3.1 bps | 19.9 bps | 61% | 57th | $0.0152 | 35.9% |
| nonmarketable_limit | $10k–$20k • ODD | 41,244 | 1,434,310 | 40.1% | 100.0% | 4.4 bps | 22.7 bps | 82% | 58th | $0.1708 | 65.8% |
| nonmarketable_limit | $10k–$20k • ROUND | 20,992 | 3,339,538 | 11.4% | 100.0% | 3.1 bps | 29.0 bps | 65% | 32nd | $0.0504 | 42.4% |
| nonmarketable_limit | $20k–$50k • ODD | 14,428 | 604,606 | 35.9% | 100.0% | 3.8 bps | 11.1 bps | 86% | 46th | $0.3160 | 67.4% |
| nonmarketable_limit | $20k–$50k • ROUND | 40,697 | 9,946,299 | 9.1% | 100.0% | 2.9 bps | 28.7 bps | 73% | 30th | $0.0743 | 48.6% |
| nonmarketable_limit | $50k–$200k • ODD | 224 | 5,798 | 54.5% | 100.0% | 7.6 bps | 2.9 bps | 94% | 75th | $1.5326 | 67.4% |
| nonmarketable_limit | $50k–$200k • ROUND | 30,106 | 14,489,355 | 10.7% | 100.0% | 2.6 bps | 28.2 bps | 69% | 21st | $0.0995 | 47.6% |
| nonmarketable_limit | ≥$200k • ROUND | 8,397 | 22,430,277 | 26.3% | 100.0% | 2.9 bps | 23.1 bps | 32% | 47th | $0.0615 | 47.3% |
2. Broker-Dealers Routing Here (Reverse 606 Index)
Firms directing customer order flow to this market center under SEC Rule 606(a), with route percentages and PFOF rates.
| Broker-Dealer | CRD | Month | Section | Route % | Mkt % | Limit % | PFOF Mkt (¢/100) | PFOF Mkt ($) | Action |
|---|---|---|---|---|---|---|---|---|---|
| T.ROWE PRICE | 8348 | 7- | other_stocks | 4.9% | 5.2% | 4.7% | 0.00 ¢ | $0.00 | Firm Review → |
| T.ROWE PRICE | 8348 | 7- | sp500 | 5.2% | 5.5% | 5.8% | 0.00 ¢ | $0.00 | Firm Review → |
| T.ROWE PRICE | 8348 | 8- | other_stocks | 5.0% | 5.1% | 5.1% | 0.00 ¢ | $0.00 | Firm Review → |
| T.ROWE PRICE | 8348 | 8- | sp500 | 5.2% | 5.6% | 5.3% | 0.00 ¢ | $0.00 | Firm Review → |
| T.ROWE PRICE | 8348 | 9- | other_stocks | 5.1% | 5.2% | 4.7% | 0.00 ¢ | $0.00 | Firm Review → |
| T.ROWE PRICE | 8348 | 9- | sp500 | 5.5% | 5.7% | 5.2% | 0.00 ¢ | $0.00 | Firm Review → |
| STATE FARM VP MANAGEMENT CORP | 43036 | 7- | other_stocks | 4.7% | 4.7% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| STATE FARM VP MANAGEMENT CORP | 43036 | 7- | sp500 | 6.8% | 7.1% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| STATE FARM VP MANAGEMENT CORP | 43036 | 8- | other_stocks | 5.2% | 5.2% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| STATE FARM VP MANAGEMENT CORP | 43036 | 8- | sp500 | 8.3% | 8.3% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| STATE FARM VP MANAGEMENT CORP | 43036 | 9- | other_stocks | 2.3% | 2.3% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| STATE FARM VP MANAGEMENT CORP | 43036 | 9- | sp500 | 8.2% | 8.2% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| ANDBANC BROKERAGE LLC | 155979 | 7- | other_stocks | 5.0% | 5.1% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| ANDBANC BROKERAGE LLC | 155979 | 7- | sp500 | 5.4% | 5.9% | 22.2% | 0.00 ¢ | $0.00 | Firm Review → |
| ANDBANC BROKERAGE LLC | 155979 | 8- | other_stocks | 5.6% | 5.4% | 6.7% | 0.00 ¢ | $0.00 | Firm Review → |
| ANDBANC BROKERAGE LLC | 155979 | 8- | sp500 | 4.4% | 4.5% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| ANDBANC BROKERAGE LLC | 155979 | 9- | other_stocks | 3.8% | 3.3% | 7.7% | 0.00 ¢ | $0.00 | Firm Review → |
| ANDBANC BROKERAGE LLC | 155979 | 9- | sp500 | 4.9% | 5.3% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| CGIS SECURITIES LLC | 155984 | 7- | other_stocks | 2.8% | 2.9% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| CGIS SECURITIES LLC | 155984 | 7- | sp500 | 6.3% | 5.9% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| CGIS SECURITIES LLC | 155984 | 8- | other_stocks | 3.6% | 3.1% | 3.0% | 0.00 ¢ | $0.00 | Firm Review → |
| CGIS SECURITIES LLC | 155984 | 8- | sp500 | 4.2% | 3.3% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| CGIS SECURITIES LLC | 155984 | 9- | other_stocks | 1.9% | 1.9% | 4.8% | 0.00 ¢ | $0.00 | Firm Review → |
| CGIS SECURITIES LLC | 155984 | 9- | sp500 | 5.9% | 5.7% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| TD PRIVATE CLIENT WEALTH LLC | 164484 | 7- | other_stocks | 4.5% | 4.5% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| TD PRIVATE CLIENT WEALTH LLC | 164484 | 7- | sp500 | 6.5% | 6.5% | 23.1% | 0.00 ¢ | $0.00 | Firm Review → |
| TD PRIVATE CLIENT WEALTH LLC | 164484 | 8- | other_stocks | 4.7% | 4.7% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| TD PRIVATE CLIENT WEALTH LLC | 164484 | 8- | sp500 | 7.2% | 7.3% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
| TD PRIVATE CLIENT WEALTH LLC | 164484 | 9- | other_stocks | 4.5% | 4.5% | 7.7% | 0.00 ¢ | $0.00 | Firm Review → |
| TD PRIVATE CLIENT WEALTH LLC | 164484 | 9- | sp500 | 7.0% | 7.0% | 0.0% | 0.00 ¢ | $0.00 | Firm Review → |
3. Rule 605 Report Files & Ingestion History
Published monthly execution quality data files crawled from vendor and exchange landing pages.
| File Name | Month | Kind | Status | Fetched At | Source URL |
|---|---|---|---|---|---|
| TUBSS202607.dat | 202607 | detailed | stored | 2026-09-28T18:18:39.588+00:00 | File Link ↗ |
| TUBSS202607.zip | 202607 | detailed | variant | File Link ↗ | |
| UBSS202608.zip | 202608 | detailed | stored | 2026-09-30T21:23:46.642682852+00:00 | File Link ↗ |
| UBSS202608.csv | 202608 | summary | stored | 2026-09-30T21:23:46.642692601+00:00 | File Link ↗ |
4. Coverage Gaps & Review Limitations
Suppressed Cells
4
Tiers with < 100 covered ordersMissing Files
0
Months unretrievableMethodological Caveats:
- 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.
- Brokers routing here reflect venue aliases as of the last crosswalk-venues run.
Does your firm route to UBS SECURITIES, LLC? See which competing venues beat it on your symbol mix → Enter your Firm CRD