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
- 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)
- Guide to Mutual Fund Investing
- Retirement Asset Education Center
- Municipal Investor Brochure
- Guide to 529 Plans
- 529 Plans: Research & Compare
- 529 or ABLE Out-of-State Disclosure
- Investor Education
- What is a Trusted Contact?
- Considerations when broker changes firm
- Options Education Center
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.
