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, 2013


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 90.18%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 9.19%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 0.63%
   
1. KCG AMERICAS L.L.C. 32.62%
2. CITADEL SECURITIES, L.L.C. 18.64%
3. GOLDMAN, SACHS & CO. 17.76%
4. TWO SIGMA SECURITIES, L.L.C. 10.71%
5. NATIONAL FINANCIAL SERVICES, L.L.C. 10.58%
6. UBS SECURITIES, L.L.C. 6.80%
7. INSTINET, L.L.C. 1.39%
8. DIRECT EDGE EXCHANGE 0.76%
9. NASDAQ EXECUTION SERVICES, L.L.C. 0.38%
10. CITIGROUP GLOBAL MARKETS, INC. 0.25%

 

Information Concerning Significant Venues:

1. KCG AMERICAS L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 34.22%
Limit orders as percentage of total limit orders 15.07%
Other orders as percentage of total other orders 60.00%

 

2. CITADEL SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 19.41%
Limit orders as percentage of total limit orders 10.96%
Other orders as percentage of total other orders 20.00%

 

3. GOLDMAN, SACHS & CO. 

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 19.55%
Limit orders as percentage of total limit orders 1.37%
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 10.89%
Limit orders as percentage of total limit orders 9.59%
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 7.26%
Limit orders as percentage of total limit orders 43.84%
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 6.84%
Limit orders as percentage of total limit orders 5.48%
Other orders as percentage of total other orders 20.00%

 

7. INSTINET, L.L.C.  DIRECT EDGE EXCHANGE

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 1.54%
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 8.22%
Other orders as percentage of total other orders 0.00%

 

9. NASDAQ EXECUTION SERVICES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 4.11%
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 0.14%
Limit orders as percentage of total limit orders 1.37%
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 86.77%
Limit orders as percentage of total non-directed orders 11.22%
Other orders as percentage of total non-directed orders 2.00%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:
 
1. KCG AMERICAS L.L.C 23.05%
2. UBS SECURITIES, L.L.C. 20.84%
3. CITADEL SECURITIES, L.L.C. 16.63%
4. GOLDMAN, SACHS & CO. 12.83%
5. NATIONAL FINANCIAL SERVICES, L.L.C. 12.83%
6. TWO SIGMA SECURITIES, L.L.C. 9.22%
7. NASDAQ EXECUTION SERVICES, L.L.C 1.60%
8. DIRECT EDGE EXCHANGE 1.40%
9. INSTINET, L.L.C. 1.20%
10. LIQUIDNET 0.40%

 

Information Concerning Significant Venues:

1. KCG AMERICAS L.L.C

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 21.02%
Limit orders as percentage of total limit orders 25.00%
Other orders as percentage of total other orders 100.00%

 

2. UBS SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 22.86%
Limit orders as percentage of total limit orders 8.93%
Other orders as percentage of total other orders 0.00%

 

3. CITADEL SECURITIES, L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 17.55%
Limit orders as percentage of total limit orders 12.50%
Other orders as percentage of total other orders 0.00%


4. GOLDMAN, SACHS & CO.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 114.55%
Limit orders as percentage of total limit orders 1.79%
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 11.78%
Limit orders as percentage of total limit orders 23.21%
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 10.39%
Limit orders as percentage of total limit orders 1.79%
Other orders as percentage of total other orders 0.00%

 

7. NASDAQ EXECUTION SERVICES, L.L.C

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 14.29%
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 12.50%
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 1.39%
Limit orders as percentage of total limit orders 0.00%
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 0.46%
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 97.19%
Limit orders as percentage of total non-directed orders 2.81%
Other orders as percentage of total non-directed orders 0.00%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:
 
1. GOLDMAN, SACHS & CO.    40.63%
2. CITADEL SECURITIES, L.L.C. 19.06%
3. KCG AMERICAS L.L.C. 12.19%
4. TWO SIGMA SECURITIES, L.L.C. 11.88%
5. NATIONAL FINANCIAL SERVICES, L.L.C. 7.50%
6. UBS SECURITIES, L.L.C. 6.88%
7. INSTINET L.L.C 1.88%

 

Information Concerning Significant Venues:

1. GOLDMAN, SACHS & CO. 

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 41.48%
Limit orders as percentage of total limit orders 11.11%
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 19.61%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%

 

3. KCG AMERICAS L.L.C.

Types of Orders Routed to Venue:
 
Market orders as percentage of total market orders 12.22%
Limit orders as percentage of total limit orders 11.11%
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 12.22%
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 5.79%
Limit orders as percentage of total limit orders 66.67%
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 7.07%
Limit orders as percentage of total limit orders 0.00%
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 1.61%
Limit orders as percentage of total limit orders 11.11%
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 100.00%
Limit orders as percentage of total non-directed orders     0.00%
Other orders as percentage of total non-directed orders     0.00%

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

1. NASDAQ OMX PHLX


100.00%

   
Information Concerning Significant Venues:  

1.NASDAQ OMX PHLX

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