Brett Shane Bernstein

Employer firm

Xml Financial Group CRD 284987

$3.30B regulatory AUM 30 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Xml Financial Group

6901 Rockledge Drive Suite 730, Bethesda, MD 20817 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-06-20
DE	RA	APPROVED	2023-05-04
MD	RA	APPROVED	2016-10-03
TX	RA	APPROVED	2016-10-01
VA	RA	APPROVED	2016-10-01

FL RA
APPROVED

Since 2023-06-20
DE RA
APPROVED

Since 2023-05-04
MD RA
APPROVED

Since 2016-10-03
TX RA
APPROVED

Since 2016-10-01
VA RA
APPROVED

Since 2016-10-01

Branch Locations

6901 Rockledge Drive Suite 730, Bethesda, MD 20817 • United States

Rockville, MD • United States

Bethany Beach, DE • United States

University Park, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Rockville	MD	10/2004	09/2016
Xml Financial, Llc	Bethesda	MD	10/2016	Present
Xml Securities, Llc	Bethesda	MD	01/2019	Present

10/2004 → 09/2016

Lpl Financial, Llc

Rockville, MD
10/2016 → Present

Xml Financial, Llc

Bethesda, MD
01/2019 → Present

Xml Securities, Llc

Bethesda, MD

Previous Registrations

2004-10-22 → 2016-10-13

Lpl Financial Llc

Rockville, MD

Rockville, MD
1998-11-20 → 2004-10-26

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rockville, MD

Other Businesses

(1) 02/2004: Insurance producer agent, no business name, XML headquarters, 1Hr/month/trading. (2) 09/2016: BR Financial Associates, LLC, located residence, entity for tax purposes for management fee and earn out income related to BR Financial Associates Management Company, LLC, 1Hr/month/trading, Managing Partner. (3) 09/2016: BR Financial Associates Management Company, LLC, located XML Financial Group headquarters, management company for XML Financial, LLC and XML Securities, LLC - 80Hr/month/trading. (4) 5Hole, LLC (1/2011),BKV II, LLC, BKV, LLC (10/2016)-holding companies for personal, passive private placement investments, located residence, Member, 1Hr/month/trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-11-04

S66 Uniform Combined State Law Examination

1998-11-04

Designations

Certified Financial Planner

Other Names

Brett S Bernstein

View on SEC IAPD