| A71 | INTERCAROLINA FINANCIAL SERVICES, INC. CRD 19475 | NC | $85.4M | 31 | E*Trade→ |
| B65 | VN CAPITAL MANAGEMENT, LLC CRD 166761 | NC | $63.0M | — | Pershing→ |
| B60 | CRITERION AFRICA PARTNERS, INC CRD 291386 | MD | $85.9M | — | E*Trade→ |
| B55 | TANAKA CAPITAL MANAGEMENT INC CRD 109888 | CT | $69.4M | 1 | E*Trade→ |
| B53 | AMERICAN FINANCIAL MANAGEMENT, LTD. CRD 111016 | MD | $31.6M | 2 | Charles Schwab→ |
| B53 | VARIANT PERCEPTION, LLC CRD 334510 | NC | $31.9M | 1 | E*Trade→ |
| B52 | OXFORD GATE MANAGEMENT, LLC CRD 297061 | CT | $90.9M | — | U.S. Bank→ |
| C46 | PROFIT INVESTMENT MANAGEMENT, LLC CRD 110294 | MD | $26.8M | — | E*Trade→ |
| C44 | BLUE MARLIN HOLDCO LLC CRD 313892 | MD | $52.7M | — | E*Trade→ |
| C43 | MONACHIL CAPITAL PARTNERS LP CRD 311376 | CT | $71.7M | — | JPMorgan→ |
| C40 | WRIGHT PRIVATE ASSET MANAGEMENT LLC CRD 139570 | CT | $74.1M | 4 | Charles Schwab→ |
| C40 | OBP CAPITAL LLC CRD 167619 | NC | $78.5M | — | E*Trade→ |
| C32 | OXFORD PARK MANAGEMENT, LLC CRD 324383 | CT | $71.4M | — | E*Trade→ |
| C29 | SLP WEALTH LLC CRD 325631 | NC | $63.7M | 15 | Altruist→ |
| C29 | GRAYSCALE ADVISORS, LLC CRD 314868 | CT | $60.6M | 14 | State Street→ |
