Brokerage Services
Many, but not all, of our Wealth Advisors are also associated with our affiliated broker-dealer, XML Securities, LLC (“XML BD”). Brokerage services and securities offered through XML BD are separate from investment advisory services provided through XML. LET'S TALKABOUT XML BD:
- Originated in 1982. Full service brokerage and insurance services
- Capabilities for advanced brokerage services; private equity, 1031 exchanges, collateral accounts, and other subscription-based investments offerings.
- Servicing individuals, families, businesses, non-profits and associations.
- Became a Focus Financial partner firm in 2007.
EDUCATION AND DISCLOSURES
- Form CRS
- Reg BI Disclosure
- Consolidated Reports Disclosure
- Cash Sweep Program Disclosure Statement
- Margin Disclosure Statement
- Privacy Policy
- Investors’ Guide to Mutual Fund Investing
- Municipal Investor Brochure
- Investor Education
- What is a Trusted Contact?
- Saving for Education
- CBOE Options Education Center
- Additional Information & Disclosures
XML Securities, LLC, member FINRA/ SIPC.who we are
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