Important NoticesInformation about securities offered through XML Securities, LLC, member FINRA/SIPC (“XML BD”). XML BD is a full service, introducing broker dealer and affiliate of XML Financial Group. Many, but not all, of the Wealth Advisors are also registered representatives of XML BD and are able to offer brokerage services through XML BD. BrokerCheck is a free tool to research the background and experience of financial professionals and firms. LET'S TALK
XML BD is also an insurance agency. Many, but not all, of the XML Wealth Advisors are also insurance agents and are able to offer insurance products through XML BD or an unaffiliated insurance agency.
The U.S. Securities and Exchange Commission’s Rule 606 requires all broker/dealers that route orders in equity and option securities to publish quarterly reports that provide a general overview of their routing practices. This report must identify the venues to which non-directed customer orders in U.S. exchange-listed equity securities and options were routed for execution, and disclose the material aspects of the broker/dealer’s relationship with such venues. The purpose of this report is to provide the public with information on how broker-dealers route orders, enable the evaluation of order routing practices and foster competition among market participants. Upon request, broker-dealers also must disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge. XML BD enters all equity orders through the order entry system of our primary custodian and clearing firm, First Clearing, a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker dealer and non-bank affiliate of Wells Fargo & Company (“FC”). With the exception of our clearing broker/introducing broker relationship with FC, we have no material relationships with any of the venues referenced in the FC reports. We do not receive any compensation or payment for order flow. The SEC Rule 606 requires broker dealers that route orders in certain equity and option securities to make available quarterly reports that present a general overview of their routing practices. If you would like to obtain further information regarding the primary market centers selected by FC to handle orders, you may access FC’s quarterly “Order Routing Report” by accessing this web link (Public Disclosure – SEC Rule 606 Reports).
MUNICIPAL SECURITIES DISCLOSURE
XML BD is also registered with the Municipal Securities Rulemaking Board (“MSRB”). The website address for the MSRB is www.msrb.org which includes access to the MSRB Rule Book and an investor brochure that describes the protections that may be provided by the MSRB rules and how to file a complaint with an appropriate regulatory authority. Access to www.msrb.org and the FINRA Manual is available at our branch locations.
The products, services, information and materials contained within these web pages may not be available or applicable to residents of certain jurisdictions. Please consult the sales restrictions relating to the products or services in question for further information. XML BD and individuals acting in the capacity as either a broker agent or insurance agent may only transact business with a U.S. state resident after license or satisfying the qualification requirements of that state, or if they are excluded or exempted from the state’s requirements, as the case may be. Refer to FINRA’s broker check to view states the firm and individuals are registered with.
If you are considering the use of options please read through the Characteristics and Risks of Standardized Options and Supplements. This is written and published by The Options Clearing Corporation. This booklet explains the purposes and risks of options transactions and is provided to an investor prior to buying or selling options contracts. The Options Industry Council is an industry resource that provides trustworthy education regarding the benefits and risks of exchange-traded options.
You should receive at least quarterly statements directly from the custodian that holds and maintains your investment assets. We encourage clients to carefully review such statements and compare such official custodial records to any report that we provide which consolidates assets or accounts, which we refer to as “consolidated reports” or is viewed via a third party software, such as within the XML Vault or Wealth Portal. Statement formatting from different custodians typically varies based on their accounting procedures, reporting dates, or valuation methodologies of certain securities. Reports consolidating accounts are use primarily for planning purposes and estimates, and are not intended to be a replacement for custodial account statements. Please read this Consolidated Reports Disclosure when reviewing reports provided by us.
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