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 December 31, 2012

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 90.62%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 8.91%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 0.47%
   
1. KNIGHT CAPITAL MARKETS, L.L.C. 29.83%
2. CITADEL SECURITIES, L.L.C. 25.33%
3. UBS SECURITIES, L.L.C. 12.66%
4. GOLDMAN, SACHS & CO. 10.60%
5. NATIONAL FINANCIAL SERVICES, L.L.C. 7.41%
6. TWO SIGMA SECURITIES, L.L.C. 4.03%
7. CITIGROUP GLOBAL MARKETS, INC. 3.28%
8. DIRECT EDGE EXCHANGE 2.25%
9. INSTINET, L.L.C. 1.88%
10. MORGAN STANLEY & CO. INCORPORATED 1.03%

 

Information Concerning Significant Venues:

1. KNIGHT CAPITAL MARKETS, L.L.C.

Types of Orders Routed to Venue:		  
Market orders as percentage of total market orders 30.64%
Limit orders as percentage of total limit orders 22.11%
Other orders as percentage of total other orders 20.00%

 

2. CITADEL SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 26.71%
Limit orders as percentage of total limit orders 10.53%
Other orders as percentage of total other orders 40.00%

 

3. UBS SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 12.84%
Limit orders as percentage of total limit orders 9.47%
Other orders as percentage of total other orders 40.00%

 

4. GOLDMAN, SACHS & CO.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 11.70%
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 7.14%
Limit orders as percentage of total limit orders 10.53%
Other orders as percentage of total other orders 0.00%

 

6. TWO SIGMA SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 4.35%
Limit orders as percentage of total limit orders 1.05%
Other orders as percentage of total other orders 0.00%

 

7. CITIGROUP GLOBAL MARKETS, INC.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 3.52%
Limit orders as percentage of total limit orders 1.05%
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 25.26%
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 1.97%
Limit orders as percentage of total limit orders 1.05%
Other orders as percentage of total other orders 0.00%

 

10. MORGAN STANLEY & CO. INCORPORATED

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 0.93%
Limit orders as percentage of total limit orders 2.11%
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 80.00%
Limit orders as percentage of total non-directed orders 19.83%
Other orders as percentage of total non-directed orders 0.17%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:
 
1. UBS SECURITIES, L.L.C. 26.61%
2. CITADEL SECURITIES, L.L.C. 25.93%
3. KNIGHT EQUITY MARKETS, L.P. 13.73%
4. NATIONAL FINANCIAL SERVICES, L.L.C. 9.66%
5. DIRECT EDGE EXCHANGE 8.14%
6. TWO SIGMA SECURITIES, L.L.C. 4.41%
7. GOLDMAN, SACHS & CO. 3.73%
8. CITIGROUP GLOBAL MARKETS, INC. 3.73%
9. INSTINET, L.L.C. 1.19%
10. MORGAN STANLEY & CO. INCORPORATED 0.85%

 

Information Concerning Significant Venues:

1. UBS SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 30.93%
Limit orders as percentage of total limit orders 9.40%
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 29.03%
Limit orders as percentage of total limit orders 13.68%
Other orders as percentage of total other orders 0.00%

 

3. KNIGHT EQUITY MARKETS, L.P.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 13.35%
Limit orders as percentage of total limit orders 14.53%
Other orders as percentage of total other orders 100.00%


4. NATIONAL FINANCIAL SERVICES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 10.81%
Limit orders as percentage of total limit orders 5.13%
Other orders as percentage of total other orders 0.00%

 

5. 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 41.03%
Other orders as percentage of total other orders 0.00%


6. TWO SIGMA SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 5.08%
Limit orders as percentage of total limit orders 1.71%
Other orders as percentage of total other orders 0.00%

 

7. GOLDMAN, SACHS & CO.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 4.45%
Limit orders as percentage of total limit orders 0.85%
Other orders as percentage of total other orders 0.00%

 

8. CITIGROUP GLOBAL MARKETS, INC.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 3.60%
Limit orders as percentage of total limit orders 4.27%
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 1.06%
Limit orders as percentage of total limit orders 1.71%
Other orders as percentage of total other orders 0.00%

 

10. MORGAN STANLEY & CO. INCORPORATED

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 1.06%
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 83.01%
Limit orders as percentage of total non-directed orders 16.50%
Other orders as percentage of total non-directed orders 0.49%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:
 
1. KNIGHT CAPITAL MARKETS, L.L.C. 27.67%
2. CITADEL SECURITIES, L.L.C. 25.73%
3. GOLDMAN, SACHS & CO. 15.05%
4. NATIONAL FINANCIAL SERVICES, L.L.C. 9.71%
5. UBS SECURITIES, L.L.C. 6.80%
6. DIRECT EDGE EXCHANGE 4.37%
7. TWO SIGMA SECURITIES, L.L.C. 3.40%
8. CITIGROUP GLOBAL MARKETS, INC. 2.91%
9. NYSE ARCA 1.94%
10. MORGAN STANLEY & CO. INCORPORATED 1.46%

 

Information Concerning Significant Venues:

1. KNIGHT CAPITAL MARKETS, L.L.C.

Types of Orders Routed to Venue:		  
Market orders as percentage of total market orders 29.82%
Limit orders as percentage of total limit orders 17.65%
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 30.41%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 100.00%

 

3. GOLDMAN, SACHS & CO.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 17.54%
Limit orders as percentage of total limit orders 2.94%
Other orders as percentage of total other orders 0.00%

 

4. NATIONAL FINANCIAL SERVICES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 4.68%
Limit orders as percentage of total limit orders 35.29%
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 8.19%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%

 

6. 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 26.47%
Other orders as percentage of total other orders 0.00%

 

7. TWO SIGMA SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 3.51%
Limit orders as percentage of total limit orders 2.94%
Other orders as percentage of total other orders 0.00%

 

8. CITIGROUP GLOBAL MARKETS, INC.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 3.51%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%

 

9. NYSE ARCA

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 11.76%
Other orders as percentage of total other orders 0.00%

 

10. MORGAN STANLEY & CO. INCORPORATED

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 1.75%
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. NYSE ARCA OPTIONS
 100.00%
   
Information Concerning Significant Venues:  

1. NYSE ARCA OPTIONS

  
  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%