X-17A-5: Submission Information

Report for the Period Beginning

01-01-2021

and Ending

12-31-2021

Type of Registrant

Broker-dealer

Security-based swap dealer

Major security-based swap participant

OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?

Yes

X-17A-5: A. Registrant Identification

Name of Firm

XML SECURITIES, LLC

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1

7600 LEESBURG PIKE

Address 2

SUITE 120 EAST

City

FALLS CHURCH

State/Country

VIRGINIA

Mailing Zip/ Portal Code

22043

Name and Telephone Number of Person to Contact in Regard to this Report

Name

Jennifer L. Szaro

Telephone Number

703-827-2300

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name

Wolf & Company, P.C.

Address 1

225 State Street

City

Boston

State/Country

MASSACHUSETTS

Mailing Zip/ Postal Code

02109

Check One

Certified Public Accountant
Radio button not checked

Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Robert Kantor, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of XML SECURITIES, LLC, as of 12-31-2021, is true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Signature

Robert Kantor

Title

CEO

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.

X-17A-5: Filer Information

Submission Contact Information