| A73 | WHALEN CAPITAL, INC. CRD 130016 | WI | $75.1M | 8 | E*Trade→ |
| A71 | INTERCAROLINA FINANCIAL SERVICES, INC. CRD 19475 | NC | $85.4M | 31 | E*Trade→ |
| B65 | VN CAPITAL MANAGEMENT, LLC CRD 166761 | NC | $63.0M | — | Pershing→ |
| B64 | TAVERIK CAPITAL, LLC CRD 156594 | SC | $97.5M | 2 | Charles Schwab→ |
| B56 | BUILD ASSET MANAGEMENT, LLC CRD 298354 | MO | $64.6M | 3 | Charles Schwab→ |
| B55 | NOVUS ADVISORS, LLC CRD 157908 | SC | $91.3M | 3 | Charles Schwab→ |
| B53 | BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY II, LLC CRD 292786 | WI | $81.7M | — | E*Trade→ |
| B53 | VARIANT PERCEPTION, LLC CRD 334510 | NC | $31.9M | 1 | E*Trade→ |
| B52 | BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC CRD 326646 | WI | $83.7M | — | E*Trade→ |
| C46 | SIMS CAPITAL MANAGEMENT LLC CRD 129398 | WI | $56.4M | 1 | Charles Schwab→ |
| C45 | CQL CAPITAL MANAGEMENT CRD 319557 | MO | $27.4M | — | E*Trade→ |
| C44 | ANTHONY CAPITAL MANAGEMENT, LLC CRD 312256 | WI | $37.9M | — | E*Trade→ |
| C40 | OBP CAPITAL LLC CRD 167619 | NC | $78.5M | — | E*Trade→ |
| C38 | MODERN CAPITAL MANAGEMENT, CO. CRD 306631 | SC | $90.7M | 5 | Charles Schwab→ |
| C29 | SLP WEALTH LLC CRD 325631 | NC | $63.7M | 15 | Altruist→ |
| C28 | UMB PRIVATE WEALTH MANAGEMENT, LLC CRD 306374 | MO | $68.4M | 43 | Fidelity→ |
