GVB VANDERBILT SECURITIES, LLC 125 FROEHLICH FARM BLVD WOODBURY, NY SEC Rule 606 Quarterly Report for the Quarter Ending June 30, 2016

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1 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. GVB VANDERBILT SECURITIES, LLC 125 FROEHLICH FARM BLVD WOODBURY, NY SEC Rule 606 Quarterly Report for the Quarter Ending June 30, 2016 Securities Listed on New York Stock Exchange Summary Statistics : Non-directed orders as percentage of total customer orders % Market orders as percentage of total market orders 54.02% Limit orders as percentage of total limit orders 37.84% Other orders as percentage of total other orders 8.14% Venues Receiving Significant Percentage of Total Non-Directed Orders : 1. KCG Americas LLC 42.11% 2. Citadel Securities LLC 29.62% 3. G1 Execution Services, LLC 9.66% 4. BATS BZX Exchange 6.35% 5. EDGX Exchange, Inc. 4.10% 6. UBS Securities, LLC 3.98% 7. Instinet LLC 1.24% 8. Two Sigma Securities, LLC 0.89% 9. Citigroup Global Markets, Inc. 0.68% 10. BATS BYX Exchange 0.54% Information Concerning Significant Venues : 1. KCG Americas LLC Market orders as percentage of total market orders 40.74% Limit orders as percentage of total limit orders 42.99% Other orders as percentage of total other orders 47.20% 2. Citadel Securities LLC Market orders as percentage of total market orders 38.03% Limit orders as percentage of total limit orders 16.49% Other orders as percentage of total other orders 34.89% Page 1 of 8

2 3. G1 Execution Services, LLC Market orders as percentage of total market orders 15.96% Limit orders as percentage of total limit orders 2.75% 4. BATS BZX Exchange Limit orders as percentage of total limit orders 16.72% Other orders as percentage of total other orders 0.24% 5. EDGX Exchange, Inc. Limit orders as percentage of total limit orders 10.83% Other orders as percentage of total other orders 0.08% 6. UBS Securities, LLC Market orders as percentage of total market orders 1.14% Limit orders as percentage of total limit orders 5.21% Other orders as percentage of total other orders 17.13% 7. Instinet LLC Market orders as percentage of total market orders 2.10% Limit orders as percentage of total limit orders 0.25% Other orders as percentage of total other orders 0.08% 8. Two Sigma Securities, LLC Market orders as percentage of total market orders 0.74% Limit orders as percentage of total limit orders 1.31% 9. Citigroup Global Markets, Inc. Market orders as percentage of total market orders 0.45% Limit orders as percentage of total limit orders 1.15% 10. BATS BYX Exchange Market orders as percentage of total market orders 0.78% Limit orders as percentage of total limit orders 0.31% Page 2 of 8

3 Securities Listed on The Nasdaq Stock Market Summary Statistics : Non-directed orders as percentage of total customer orders % Market orders as percentage of total market orders 52.33% Limit orders as percentage of total limit orders 46.17% Other orders as percentage of total other orders 1.50% Venues Receiving Significant Percentage of Total Non-Directed Orders : 1. KCG Americas LLC 36.00% 2. Citadel Securities LLC 33.58% 3. G1 Execution Services, LLC 9.35% 4. BATS BZX Exchange 7.75% 5. EDGX Exchange, Inc. 5.43% 6. UBS Securities, LLC 2.18% 7. BATS BYX Exchange 1.94% 8. Instinet LLC 1.50% 9. Citigroup Global Markets, Inc. 0.82% 10. NASDAQ Execution Services, LLC 0.53% Information Concerning Significant Venues : 1. KCG Americas LLC Market orders as percentage of total market orders 38.24% Limit orders as percentage of total limit orders 32.95% Other orders as percentage of total other orders 51.61% 2. Citadel Securities LLC Market orders as percentage of total market orders 40.46% Limit orders as percentage of total limit orders 26.13% Other orders as percentage of total other orders 22.58% 3. G1 Execution Services, LLC Market orders as percentage of total market orders 13.70% Limit orders as percentage of total limit orders 4.72% 4. BATS BZX Exchange Limit orders as percentage of total limit orders 16.58% Other orders as percentage of total other orders 6.45% Page 3 of 8

4 5. EDGX Exchange, Inc. Limit orders as percentage of total limit orders 11.75% 6. UBS Securities, LLC Market orders as percentage of total market orders 1.76% Limit orders as percentage of total limit orders 2.62% Other orders as percentage of total other orders 3.23% 7. BATS BYX Exchange Market orders as percentage of total market orders 2.04% Limit orders as percentage of total limit orders 1.89% 8. Instinet LLC Market orders as percentage of total market orders 2.50% Limit orders as percentage of total limit orders 0.42% 9. Citigroup Global Markets, Inc. Market orders as percentage of total market orders 0.56% Limit orders as percentage of total limit orders 1.15% 10. NASDAQ Execution Services, LLC Limit orders as percentage of total limit orders 1.15% Page 4 of 8

5 Securities Listed on NYSE MKT or Regional Exchanges Summary Statistics : Non-directed orders as percentage of total customer orders % Market orders as percentage of total market orders 68.92% Limit orders as percentage of total limit orders 30.38% Other orders as percentage of total other orders 0.70% Venues Receiving Significant Percentage of Total Non-Directed Orders : 1. KCG Americas LLC 38.60% 2. Citadel Securities LLC 32.08% 3. G1 Execution Services, LLC 12.79% 4. EDGX Exchange, Inc. 5.04% 5. BATS BZX Exchange 4.15% 6. UBS Securities, LLC 2.26% 7. Instinet LLC 1.53% 8. Jane Street Capital, LLC 0.98% 9. National Financial Services LLC 0.84% 10. Citigroup Global Markets, Inc. 0.42% Information Concerning Significant Venues : 1. KCG Americas LLC Market orders as percentage of total market orders 36.23% Limit orders as percentage of total limit orders 42.84% Other orders as percentage of total other orders 88.00% 2. Citadel Securities LLC Market orders as percentage of total market orders 39.67% Limit orders as percentage of total limit orders 15.32% Other orders as percentage of total other orders 12.00% 3. G1 Execution Services, LLC Market orders as percentage of total market orders 18.03% Limit orders as percentage of total limit orders 1.19% 4. EDGX Exchange, Inc. Limit orders as percentage of total limit orders 16.61% Page 5 of 8

6 5. BATS BZX Exchange Limit orders as percentage of total limit orders 13.67% 6. UBS Securities, LLC Market orders as percentage of total market orders 0.85% Limit orders as percentage of total limit orders 5.50% 7. Instinet LLC Market orders as percentage of total market orders 2.10% Limit orders as percentage of total limit orders 0.28% 8. Jane Street Capital, LLC Market orders as percentage of total market orders 1.13% Limit orders as percentage of total limit orders 0.64% 9. National Financial Services LLC Market orders as percentage of total market orders 0.08% Limit orders as percentage of total limit orders 2.57% 10. Citigroup Global Markets, Inc. Market orders as percentage of total market orders 0.57% Limit orders as percentage of total limit orders 0.09% Page 6 of 8

7 Exchange - Listed Options Summary Statistics : Non-directed orders as percentage of total customer orders % Market orders as percentage of total market orders 30.91% Limit orders as percentage of total limit orders 68.08% Other orders as percentage of total other orders 1.01% Venues Receiving Significant Percentage of Total Non-Directed Orders : 1. BZX Options Exchange, Inc % 2. NASDAQ Options Market 17.58% 3. NASDAQ PHLX Options 16.97% 4. NYSE Arca Options 14.95% 5. The Chicago Board Options Exchange 13.13% 6. The MIAX Options Exchange 11.52% 7. BOX Option Exchange 3.23% 8. The International Securities Exchange 0.81% 9. NYSE Amex Options 0.61% 10. ISE Gemini Options Exchange 0.40% Information Concerning Significant Venues : 1. BZX Options Exchange, Inc. Market orders as percentage of total market orders 1.96% Limit orders as percentage of total limit orders 29.08% 2. NASDAQ Options Market Limit orders as percentage of total limit orders 25.82% 3. NASDAQ PHLX Options Market orders as percentage of total market orders 29.41% Limit orders as percentage of total limit orders 10.98% Other orders as percentage of total other orders 40.00% 4. NYSE Arca Options Market orders as percentage of total market orders 0.65% Limit orders as percentage of total limit orders 21.66% Page 7 of 8

8 5. The Chicago Board Options Exchange Market orders as percentage of total market orders 34.64% Limit orders as percentage of total limit orders 2.97% Other orders as percentage of total other orders 40.00% 6. The MIAX Options Exchange Market orders as percentage of total market orders 24.18% Limit orders as percentage of total limit orders 5.93% 7. BOX Option Exchange Market orders as percentage of total market orders 3.27% Limit orders as percentage of total limit orders 2.97% Other orders as percentage of total other orders 20.00% 8. The International Securities Exchange Market orders as percentage of total market orders 2.61% Limit orders as percentage of total limit orders 0.00% 9. NYSE Amex Options Market orders as percentage of total market orders 1.31% Limit orders as percentage of total limit orders 0.30% 10. ISE Gemini Options Exchange Market orders as percentage of total market orders 1.31% Limit orders as percentage of total limit orders 0.00% Page 8 of 8