Investment Services

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.

CLH

HANCOCK INVESTMENT SERVICES, INC

2600 CITIPLACE DRIVE, SUITE 100

BATON ROUGE, LA 70808

SEC Rule 606, Quarterly Report for the Quarter Ending March 31, 2014


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 84.99%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 13.08%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 1.93%
   
1. KCG AMERICAS L.L.C. 30.55%
2. CITADEL SECURITIES, L.L.C. 20.47%
3. GOLDMAN, SACHS & CO. 16.93%
4. TWO SIGMA SECURITIES, L.L.C. 11.04%
5. UBS SECURITIES, L.L.C. 6.11%
6. NATIONAL FINANCIAL SERVICES, L.L.C. 5.36%
7. DIRECT EDGE EXCHANGE 3.64%
8. BATS EXCHANGE, INC. 1.61%
9. INSTINET, L.L.C. 1.29%
10. CITIGROUP GLOBAL MARKETS, INC. 1.07%

 

Information Concerning Significant Venues:

1. KCG AMERICAS L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 31.15%
Limit orders as percentage of total limit orders 23.77%
Other orders as percentage of total other orders 50.00%

 

2. CITADEL SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 21.82%
Limit orders as percentage of total limit orders 10.66%
Other orders as percentage of total other orders 27.78%

 

3. GOLDMAN, SACHS & CO. 

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 19.67%
Limit orders as percentage of total limit orders 1.64%
Other orders as percentage of total other orders 0.00%

 

4. TWO SIGMA SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 12.23%
Limit orders as percentage of total limit orders 4.92%
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 6.05%
Limit orders as percentage of total limit orders 4.10%
Other orders as percentage of total other orders 22.22%

 

6. NATIONAL FINANCIAL SERVICES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 6.05%
Limit orders as percentage of total limit orders 1.64%
Other orders as percentage of total other orders 20.00%

 

7. DIRECT EDGE EXCHANGE

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 27.87%
Other orders as percentage of total other orders 0.00%

 

8. BATS EXCHANGE, INC.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 12.30%
Other orders as percentage of total other orders 0.00%

 

9. INSTINET, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 1.51%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%

 

10. CITIGROUP GLOBAL MARKETS, INC.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 1.13%
Limit orders as percentage of total limit orders 0.82%
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 81.66%
Limit orders as percentage of total non-directed orders 12.36%
Other orders as percentage of total non-directed orders 5.98%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:
 
1. KCG AMERICAS L.L.C 34.17%
2. CITADEL SECURITIES, L.L.C. 20.08%
3. UBS SECURITIES, L.L.C. 16.41%
4. GOLDMAN, SACHS & CO. 12.16%
5. TWO SIGMA SECURITIES, L.L.C. 7.14%
6. NATIONAL FINANCIAL SERVICES, L.L.C. 5.60%
7. DIRECT EDGE EXCHANGE 2.32%
8. INSTINET, L.L.C. 0.97%
9. CITIGROUP GLOBAL MARKETS, INC. 0.58%
10. LIQUIDNET 0.19%

 

Information Concerning Significant Venues:

1. KCG AMERICAS L.L.C

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 30.26%
Limit orders as percentage of total limit orders 34.38%
Other orders as percentage of total other orders 87.10%

 

2. CITADEL SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 21.04%
Limit orders as percentage of total limit orders 23.44%
Other orders as percentage of total other orders 0.00%

 

3. UBS SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 17.26%
Limit orders as percentage of total limit orders 12.50%
Other orders as percentage of total other orders 12.90%


4. GOLDMAN, SACHS & CO.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 14.66%
Limit orders as percentage of total limit orders 1.56%
Other orders as percentage of total other orders 0.00%

 

5. TWO SIGMA SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 8.51%
Limit orders as percentage of total limit orders 1.56%
Other orders as percentage of total other orders 0.00%


6. NATIONAL FINANCIAL SERVICES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 6.62%
Limit orders as percentage of total limit orders 1.56%
Other orders as percentage of total other orders 0.00%

 

7. DIRECT EDGE EXCHANGE

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 18.75%
Other orders as percentage of total other orders 0.00%

 

8. INSTINET, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 1.18%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%

 

9. CITIGROUP GLOBAL MARKETS, INC.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 0.24%
Limit orders as percentage of total limit orders 3.13%
Other orders as percentage of total other orders 0.00%

 

10. LIQUIDNET

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 0.24%
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 96.37%
Limit orders as percentage of total non-directed orders 1.21%
Other orders as percentage of total non-directed orders 2.42%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:
 
1. GOLDMAN, SACHS & CO.    28.83%
2. CITADEL SECURITIES, L.L.C. 28.63%
3. KCG AMERICAS L.L.C. 20.16%
4. TWO SIGMA SECURITIES, L.L.C. 12.10%
5. NATIONAL FINANCIAL SERVICES, L.L.C. 5.24%
6. UBS SECURITIES, L.L.C. 2.22%
7. INSTINET L.L.C 1.61%
8. DIRECT EDGE EXCHANGE 0.60%
9. CITIGROUP GLOBAL MARKETS, INC. 0.60%

 

Information Concerning Significant Venues:

1. GOLDMAN, SACHS & CO. 

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 29.92%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%

 

2. CITADEL SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 28.87%
Limit orders as percentage of total limit orders 16.67%
Other orders as percentage of total other orders 25.00%

 

3. KCG AMERICAS L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 19.04%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 75.00%

 

4. TWO SIGMA SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 12.55%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%

 

5. NATIONAL FINANCIAL SERVICES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 5.44%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%

 

6. UBS SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 1.88%
Limit orders as percentage of total limit orders 33.33%
Other orders as percentage of total other orders 0.00%

 

7. INSTINET L.L.C

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%

 

8. DIRECT EDGE EXCHANGE

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 50.00%
Other orders as percentage of total other orders 0.00%

 

9. CITIGROUP GLOBAL MARKETS, INC.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 0.63%
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 100.00%
Market orders as percentage of total non-directed orders 0.00%
Limit orders as percentage of total non-directed orders 100.00%
Other orders as percentage of total non-directed orders 0.00%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

1. NASDAQ OPTIONS MARKET


100.00%

   
Information Concerning Significant Venues:  

1.NASDAQ OPTIONS MARKET

 
  Types of Orders Routed to Venue:  
  Market orders as percentage of total market orders 0.00%
  Limit orders as percentage of total limit orders 100.00%
  Other orders as percentage of total other orders 0.00%