Brokerage Services
Many of our Wealth Advisors are also associated with our affiliated broker-dealer, XML Securities, LLC (“XML BD”). Originating in 1981, XML BD offers standard and advanced brokerage and insurance products and services for individuals, families, businesses, non-profits and associations.EDUCATION AND DISCLOSURES
- Client Relationship Summary (Form CRS)
- Reg BI Brochure
- XML clearing firm Schedule of Client Fees
- Consolidated Reports Disclosure
- Cash Sweep Program Disclosure Statement
- Margin Disclosure Statement
- Privacy Policy
- Priority Credit Line Disclosures
- Characteristics and Risks of Standardized Options
- Broker-dealer Information & Disclosures
- Fiduciary Disclosure (As of February 1, 2022)
Brokerage services and securities offered through XML BD are separate from investment advisory services provided through XML.
XML Securities, LLC, member FINRA/ SIPC.
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