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6901 Rockledge Drive Suite 730, Bethesda, MD 20817 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2022-05-03 |
| FL | RA | APPROVED | 2022-04-13 |
| VA | RA | APPROVED | 2016-10-13 |
| MD | RA | APPROVED | 2016-10-01 |
Branch Locations
6901 Rockledge Drive Suite 730, Bethesda, MD 20817 • United States
Naples, FL • United States
Bethany Beach, DE • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Rockville | MD | 10/2004 | 09/2016 |
| Xml Financial, Llc | Bethesda | MD | 10/2004 | Present |
| Purshe Kaplan Sterling Investments, Inc. | Albany | NY | 10/2016 | 12/2018 |
| Xml Securities, Llc | Falls Church | VA | 01/2019 | Present |
(1) 02/2004: Insurance agent, no business name, located at reported business location, 1Hr/month/trading. (2) 09/2016: BR Financial Associates, LLC, at XML Financial Group headquarters, entity for tax purposes for management fee and earn out income related to BR Financial Associates Management Company, LLC, 1Hr/month/trading, (3) 09/2016: BR Financial Associates Management Company, LLC, managing partner, at XML Financial Group headquarters, management company for XML Financial, LLC and XML Securities, LLC - 80Hr/month/trading, Principal. (4) 03/2023: Devonshire, 2760 Devonshire Place, NW, Washington, DC 20008. Appointed by executor as corporate officer, nature of business is real estate. Asked to appointing officers when needed and reviewing non-recurring significant transactions such as loan refinancing for building sale,1Hr/month/trading. (5) 1/2011: 5Hole, LLC ,(10/2016) BKV II, LLC, BKV, LLC -holding companies for personal, passive private placement investments, from residence, Member, 1Hr/month/trading (6) 10/2022: RT INVESTORS PARTNERS I, LLC , and 6/2023 INVESTORS OF GULF SHORE, LLC partner, holding company for personal passive private placement investments, from residence, 1Hr/month/trading. (7) 6/2014: Sea Villas HOA, volunteer Treasurer - receivables/payables, budget, HOA Rules, from residence, 1Hr/month/trading. (8) 3/2023: Vanderbilt Beach Comber, volunteer Treasurer - oversee budgeting, management company, accounting company, no access to pay bills/expenses, from residence, 1Hr/month/trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-08 |
| S63 | Uniform Securities Agent State Law Examination | 1991-02-15 |
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