XML Securities Brokerage Services
Many of our Wealth Advisors are also associated with our affiliated broker-dealer, XML Securities, LLC member FINRA/SIPC (“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
- Broker-dealer Information & Disclosures
- Cash Sweep Program Disclosure Statement
- Characteristics and Risks of Standardized Options
- Client Relationship Summary (Form CRS)
- Considerations when broker changes firm
- Consolidated Reports Disclosure
- Guide to Mutual Fund Investing
- Guide to 529 Plans
- Investor Education
- Margin Disclosure Statement
- Municipal Investor Brochure
- Options Education Center
- Privacy Policy
- Priority Credit Line Disclosures
- Reg BI Brochure
- Retirement Asset Education Center
- What is a Trusted Contact?
- 529 Plans: Research & Compare
- 529 or ABLE Out-of-State Disclosure
We want you to understand these documents and answer any questions you may have. If you would like to receive a document in a larger font or would like to go through a document with someone verbally please contact us. BrokerCheck is a free tool to research the background and experience of financial professionals and firms. 
Brokerage services and securities offered through XML BD are separate from investment advisory services provided through XML. XML Securities, LLC, member FINRA/ SIPC.
