| B51 | MONEY MANAGEMENT SERVICES, INC. CRD 106832 | AL | $442.7M | 5 | Pershing→ |
| B51 | MONTE FINANCIAL GROUP, LLC CRD 150119 | CT | $482.4M | 6 | Fidelity→ |
| B50 | MATSON FINANCIAL ADVISORS, INC. CRD 122480 | CT | $518.9M | 3 | Pershing→ |
| B50 | J.H. WHITNEY CAPITAL PARTNERS, LLC CRD 160547 | CT | $859.3M | — | E*Trade→ |
| B50 | CFO CAPITAL MANAGEMENT, LLC CRD 110950 | CT | $243.9M | — | Charles Schwab→ |
| B50 | LUCERNE CAPITAL MANAGEMENT, LP CRD 111288 | CT | $364.6M | — | Goldman Sachs→ |
| B50 | SQN VENTURE PARTNERS, LLC CRD 301483 | SC | $137.3M | — | E*Trade→ |
| B50 | SR ALTERNATIVE CREDIT, LLC CRD 319478 | CT | $247.4M | — | E*Trade→ |
| C50 | ENDEAVOUR CAPITAL ADVISORS INC. CRD 137689 | CT | $602.7M | — | Morgan Stanley→ |
| C50 | PRIVATE CAPITAL ASSET MANAGEMENT LLC CRD 317930 | CT | $13.0M | — | Pershing→ |
| C50 | BRX GLOBAL LP CRD 284664 | CT | $231.4M | — | E*Trade→ |
| C50 | CCM INVESTMENT ADVISERS, LLC CRD 105743 | SC | $1.55B | 8 | Charles Schwab→ |
| C49 | SULLIVAN FINANCIAL, LLC CRD 121371 | CT | $119.1M | 2 | Charles Schwab→ |
| C49 | BRIDGELIGHT FINANCIAL ADVISORS, INC CRD 139518 | CT | $150.8M | 3 | Charles Schwab→ |
| C49 | OCEANSIDE ADVISORS LLC CRD 170307 | SC | $191.3M | 4 | Charles Schwab→ |
| C49 | METIS WEALTH MANAGEMENT & PLANNING LLC CRD 305086 | SC | $114.9M | 2 | Charles Schwab→ |
| C49 | ALPINE HILL ADVISORS LLC CRD 325412 | CT | $114.5M | 2 | Fidelity→ |
| C49 | HAYEK KALLEN INVESTMENT MANAGEMENT L.L.C. CRD 106454 | AL | $424.4M | 2 | Charles Schwab→ |
| C49 | BROOKLINE INVESTMENTS, INC. CRD 109239 | AL | $281.5M | 2 | Charles Schwab→ |
| C49 | FREEDOM INVESTMENT MANAGEMENT, INC. CRD 126052 | CT | $568.7M | 5 | Charles Schwab→ |
| C49 | HILTON HEAD FINANCIAL ADVISORS, INC. CRD 140249 | SC | $375.1M | 1 | Charles Schwab→ |
| C49 | SOUND MARK PARTNERS, LLC CRD 169037 | CT | $272.0M | — | Wells Fargo→ |
| C49 | BOURGEON CAPITAL MANAGEMENT LLC CRD 108054 | CT | $1.07B | 4 | Charles Schwab→ |
| C49 | RANGELEY CAPITAL, LLC CRD 152725 | CT | $220.5M | — | Interactive Brokers→ |
| C49 | FAIRVIEW CONSTITUTION MANAGEMENT IV LLC CRD 159304 | CT | $139.8M | — | Morgan Stanley→ |
| C49 | MARK SHEPTOFF FINANCIAL PLANNING LLC CRD 108742 | CT | $466.5M | — | E*Trade→ |
| C49 | HAMILTON ROBINSON LLC CRD 162590 | CT | $292.4M | — | E*Trade→ |
| C49 | POSITIVE SELECTION INVESTMENT MANAGEMENT, LLC CRD 331469 | CT | $479.2M | — | E*Trade→ |
| C49 | GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC CRD 339528 | CT | $155.4M | — | —→ |
| C48 | CHARLESTON FINANCIAL ADVISORS, LLC CRD 137536 | SC | $262.4M | 2 | Charles Schwab→ |
| C48 | GREYLOCK CAPITAL MANAGEMENT, LLC CRD 137825 | CT | $313.9M | — | Pershing→ |
| C48 | BEERS KIGHT FINANCIAL ADVISORS, LLC CRD 160286 | SC | $179.4M | 1 | Charles Schwab→ |
| C48 | APPROACH RETIREMENT ADVISORS, LLC CRD 166221 | AL | $227.5M | 2 | Charles Schwab→ |
| C48 | GREENHAVEN ROAD INVESTMENT MANAGEMENT, LP CRD 288555 | CT | $299.5M | — | Pershing→ |
| C48 | LCR WEALTH MANAGEMENT LLC CRD 313013 | CT | $151.8M | 3 | Charles Schwab→ |
| C48 | AUGUST WEALTH ADVISORS LLC CRD 339322 | CT | $436.6M | 4 | Charles Schwab→ |
| C48 | WEALTHSHAPE LLC CRD 226733 | CT | $109.4M | 1 | —→ |
| C48 | TRUST ADVISORY GROUP LTD CRD 106926 | AL | $313.5M | 20 | Charles Schwab→ |
| C48 | OXFORD SQUARE MANAGEMENT, LLC CRD 127888 | CT | $306.7M | 1 | E*Trade→ |
| C48 | SPIVAK ASSET MANAGEMENT, LLC CRD 125714 | CT | $439.1M | 1 | E*Trade→ |
| C48 | WEALTH MANAGEMENT GROUP OF NORTH AMERICA, LLC CRD 125765 | CT | $346.4M | 4 | Charles Schwab→ |
| C48 | DELLORA INVESTMENTS LP CRD 310885 | CT | $148.4M | — | —→ |
| C48 | CAPSOUTH PARTNERS, INC. CRD 132517 | AL | $1.00B | 13 | Charles Schwab→ |
| C47 | MAGNOLIA FINANCIAL PLANNING SERVICES, INC. CRD 135759 | SC | $225.7M | 3 | Charles Schwab→ |
| C47 | UPLIFT INVESTORS, LP CRD 335515 | CT | $230.5M | — | E*Trade→ |
| C47 | NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC CRD 109203 | CT | $673.0M | 6 | Charles Schwab→ |
| C47 | SKY INVESTMENT GROUP LLC CRD 134001 | CT | $931.0M | 8 | Charles Schwab→ |
| C47 | LITVAK WEALTH, LLC CRD 170805 | CT | $536.1M | 4 | Fidelity→ |
| C47 | DRUM CAPITAL MANAGEMENT LLC CRD 137964 | CT | $503.2M | — | E*Trade→ |
| C47 | CRAMER ROSENTHAL MCGLYNN LLC CRD 107911 | CT | $2.27B | — | E*Trade→ |
