Investments Disclosure

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.

003
FTB ADVISORS, INC.
165 Madison Ave.
14th Floor
Memphis, TN 38103

SEC Rule 606 Quarterly Report for the Quarter Ending September 30, 2018

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 market orders - 89.96%
  • Limit orders as percentage of total limit orders - 8.17%
  • Other orders as percentage of total other orders - 1.87%

Venues Receiving Significant Percentage of Total Non-Directed Orders:

  1. Citadel Securities LLC - 41.58%
  2. VIRTU Americas LLC - 28.92%
  3. G1 Execution Services, LLC - 10.99%
  4. National Financial Services LLC - 5.48%
  5. Two Sigma Securities, LLC - 3.91%
  6. FTB Advisors, Inc. - 2.11%
  7. Cboe BYX U.S. Equities Exchange - 2.08%
  8. Cboe EDGX U.S. Equities Exchange - 1.84%
  9. NASDAQ Execution Services, LLC - 1.57%
  10. New York Stock Exchange - 1.02%

Information Concerning Significant Venues:

  1. Citadel Securities LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 43.61%
    • Limit orders as percentage of total limit orders - 18.33%
    • Other orders as percentage of total other orders - 45.45%
  2. VIRTU Americas LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 29.43%
    • Limit orders as percentage of total limit orders - 21.25%
    • Other orders as percentage of total other orders - 38.18%
  3. G1 Execution Services, LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 12.03%
    • Limit orders as percentage of total limit orders - 2.08%
    • Other orders as percentage of total other orders - 0.00%
  4. National Financial Services LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 5.71%
    • Limit orders as percentage of total limit orders - 4.17%
    • Other orders as percentage of total other orders - 0.00%
  5. Two Sigma Securities, LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 4.27%
    • Limit orders as percentage of total limit orders - 0.42%
    • Other orders as percentage of total other orders - 1.82%
  6. FTB Advisors, Inc.
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 2.34%
    • Limit orders as percentage of total limit orders - 0.00%
    • Other orders as percentage of total other orders - 0.00%
  7. Cboe BYX U.S. Equities Exchange
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 2.27%
    • Limit orders as percentage of total limit orders - 0.42%
    • Other orders as percentage of total other orders - 0.00%
  8. Cboe EDGX U.S. Equities 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 - 22.50%
    • Other orders as percentage of total other orders - 0.00%
  9. NASDAQ Execution Services, LLC
    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 - 1.82%
  10. New York Stock Exchange
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 0.04%
    • Limit orders as percentage of total limit orders - 11.67%
    • Other orders as percentage of total other orders - 1.82%

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 market orders - 89.31%
  • Limit orders as percentage of total limit orders - 8.64%
  • Other orders as percentage of total other orders - 2.05%

Venues Receiving Significant Percentage of Total Non-Directed Orders:

  1. Citadel Securities LLC - 39.13%
  2. VIRTU Americas LLC - 32.00%
  3. G1 Execution Services, LLC - 11.71%
  4. Two Sigma Securities, LLC - 4.59%
  5. National Financial Services LLC - 4.41%
  6. NASDAQ Execution Services, LLC - 2.36%
  7. Cboe BYX U.S. Equities Exchange - 2.11%
  8. Cboe EDGX U.S. Equities Exchange - 1.69%
  9. UBS Securities, LLC - 0.91%
  10. FTB Advisors, Inc. - 0.72%

Information Concerning Significant Venues:

  1. Citadel Securities LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 40.70%
    • Limit orders as percentage of total limit orders - 12.59%
    • Other orders as percentage of total other orders - 82.35%
  2. VIRTU Americas LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 32.52%
    • Limit orders as percentage of total limit orders - 32.87%
    • Other orders as percentage of total other orders - 5.88%
  3. G1 Execution Services, LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 12.78%
    • Limit orders as percentage of total limit orders - 2.10%
    • Other orders as percentage of total other orders - 5.88%
  4. Two Sigma Securities, LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 5.07%
    • Limit orders as percentage of total limit orders - 0.70%
    • Other orders as percentage of total other orders - 0.00%
  5. National Financial Services LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 4.67%
    • Limit orders as percentage of total limit orders - 1.40%
    • Other orders as percentage of total other orders - 5.88%
  6. NASDAQ Execution Services, LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 0.00%
    • Limit orders as percentage of total limit orders - 27.27%
    • Other orders as percentage of total other orders - 0.00%
  7. Cboe BYX U.S. Equities Exchange
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 2.37%
    • Limit orders as percentage of total limit orders - 0.00%
    • Other orders as percentage of total other orders - 0.00%
  8. Cboe EDGX U.S. Equities 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 - 19.58%
    • Other orders as percentage of total other orders - 0.00%
  9. UBS Securities, LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 0.88%
    • Limit orders as percentage of total limit orders - 1.40%
    • Other orders as percentage of total other orders - 0.00%
  10. FTB Advisors, Inc.
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 0.81%
    • Limit orders as percentage of total limit orders - 0.00%
    • Other orders as percentage of total other orders - 0.00%

Securities Listed on NYSE American or Regional Exchanges

Summary Statistics:

  • Non-directed orders as percentage of total customer orders - 100.00%
  • Market orders as percentage of total market orders - 98.24%
  • Limit orders as percentage of total limit orders - 1.47%
  • Other orders as percentage of total other orders - 0.28%

Venues Receiving Significant Percentage of Total Non-Directed Orders:

  1. Citadel Securities LLC - 42.88%
  2. VIRTU Americas LLC - 31.59%
  3. G1 Execution Services, LLC - 14.12%
  4. Two Sigma Securities, LLC - 4.25%
  5. Cboe BYX U.S. Equities Exchange - 3.12%
  6. National Financial Services LLC - 1.76%
  7. UBS Securities, LLC - 0.74%
  8. Cboe EDGX U.S. Equities Exchange - 0.57%
  9. NASDAQ Execution Services, LLC - 0.40%
  10. NYSE Arca - 0.23%

Information Concerning Significant Venues:

  1. Citadel Securities LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 43.48%
    • Limit orders as percentage of total limit orders - 0.00%
    • Other orders as percentage of total other orders - 60.00%
  2. VIRTU Americas LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 31.99%
    • Limit orders as percentage of total limit orders - 3.85%
    • Other orders as percentage of total other orders - 40.00%
  3. G1 Execution Services, LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 14.32%
    • Limit orders as percentage of total limit orders - 3.85%
    • Other orders as percentage of total other orders - 0.00%
  4. Two Sigma Securities, LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 4.33%
    • Limit orders as percentage of total limit orders - 0.00%
    • Other orders as percentage of total other orders - 0.00%
  5. Cboe BYX U.S. Equities Exchange
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 3.12%
    • Limit orders as percentage of total limit orders - 3.85%
    • Other orders as percentage of total other orders - 0.00%
  6. National Financial Services LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 1.79%
    • Limit orders as percentage of total limit orders - 0.00%
    • Other orders as percentage of total other orders - 0.00%
  7. UBS Securities, LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 0.75%
    • Limit orders as percentage of total limit orders - 0.00%
    • Other orders as percentage of total other orders - 0.00%
  8. Cboe EDGX U.S. Equities 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 - 38.46%
    • Other orders as percentage of total other orders - 0.00%
  9. NASDAQ Execution Services, LLC
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 0.00%
    • Limit orders as percentage of total limit orders - 26.92%
    • Other orders as percentage of total other orders - 0.00%
  10. 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 - 15.38%
    • 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 market orders - 42.92%
  • Limit orders as percentage of total limit orders - 54.38%
  • Other orders as percentage of total other orders - 2.71%

Venues Receiving Significant Percentage of Total Non-Directed Orders:

  1. Cboe Options Exchange - 41.46%
  2. NASDAQ PHLX Options - 19.79%
  3. NASDAQ Options Market - 7.50%
  4. The MIAX Options Exchange - 7.08%
  5. ISE Gemini Options Exchange - 6.04%
  6. BOX Option Exchange - 5.63%
  7. Cboe EDGX Option Exchange - 4.17%
  8. NYSE Arca Options - 3.13%
  9. NYSE American Options - 1.67%
  10. Cboe BZX Options Exchange, Inc. - 1.67%

Information Concerning Significant Venues:

  1. Cboe Options Exchange
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 35.44%
    • Limit orders as percentage of total limit orders - 43.68%
    • Other orders as percentage of total other orders - 92.31%
  2. NASDAQ PHLX Options
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 32.04%
    • Limit orders as percentage of total limit orders - 11.11%
    • Other orders as percentage of total other orders - 0.00%
  3. NASDAQ Options Market
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 0.97%
    • Limit orders as percentage of total limit orders - 13.03%
    • Other orders as percentage of total other orders - 0.00%
  4. The MIAX Options Exchange
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 9.22%
    • Limit orders as percentage of total limit orders - 5.75%
    • Other orders as percentage of total other orders - 0.00%
  5. ISE Gemini Options Exchange
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 0.97%
    • Limit orders as percentage of total limit orders - 9.96%
    • Other orders as percentage of total other orders - 7.69%
  6. BOX Option Exchange
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 7.77%
    • Limit orders as percentage of total limit orders - 4.21%
    • Other orders as percentage of total other orders - 0.00%
  7. Cboe EDGX Option Exchange
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 6.31%
    • Limit orders as percentage of total limit orders - 2.68%
    • Other orders as percentage of total other orders - 0.00%
  8. NYSE Arca Options
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 0.97%
    • Limit orders as percentage of total limit orders - 4.98%
    • Other orders as percentage of total other orders - 0.00%
  9. NYSE American Options
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 1.94%
    • Limit orders as percentage of total limit orders - 1.53%
    • Other orders as percentage of total other orders - 0.00%
  10. Cboe BZX Options Exchange, Inc.
    Types of Orders Routed to Venue:
    • Market orders as percentage of total market orders - 0.49%
    • Limit orders as percentage of total limit orders - 2.68%
    • Other orders as percentage of total other orders - 0.00%