CHIEF COMPLIANCE OFFICER

0001725547-20-000043.txt : 20200508 0001725547-20-000043.hdr.sgml : 20200508 20200507175304 ACCESSION NUMBER: 0001725547-20-000043 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200508 DATE AS OF CHANGE: 20200507 EFFECTIVENESS DATE: 20200508 FILER: COMPANY DATA: COMPANY CONFORMED NAME: XML Financial, LLC CENTRAL INDEX KEY: 0001800465 IRS NUMBER: 813654175 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19740 FILM NUMBER: 20857935 BUSINESS ADDRESS: STREET 1: ONE PRESERVE PARKWAY STREET 2: SUITE 120 CITY: ROCKVILLE STATE: MD ZIP: 20852 BUSINESS PHONE: 866.451.1874 MAIL ADDRESS: STREET 1: ONE PRESERVE PARKWAY STREET 2: SUITE 120 CITY: ROCKVILLE STATE: MD ZIP: 20852 13F-HR 1 primary_doc.xml 13F-HR LIVE false false 0001800465 XXXXXXXX 03-31-2020 03-31-2020 false XML Financial, LLC

ONE PRESERVE PARKWAY SUITE 120 ROCKVILLE MD 20852

13F HOLDINGS REPORT 028-19740 N JENNIFER SZARO CHIEF COMPLIANCE OFFICER (301) 770-5234 /s/ Jennifer Szaro Falls Church VA 05-07-2020 0 183 231543 false INFORMATION TABLE 2 Form13fInfoTable.xml AT&T INC COM 00206R102 1527 52397 SH SOLE 0 0 52396 ARK ETF TR INNOVATION ETF 00214Q104 2490 56594 SH SOLE 0 0 56594 ABBOTT LABS COM 002824100 376 4767 SH SOLE 0 0 4766 ABBVIE INC COM 00287Y109 307 4025 SH SOLE 0 0 4025 ADAMS DIVERSIFIED EQUITY FD COM 006212104 239 19023 SH SOLE 0 0 19023 ALLIANZGI EQUITY & CONV INCO COM 018829101 1590 85457 SH SOLE 0 0 85457 ALPHABET INC CAP STK CL C 02079K107 324 279 SH SOLE 0 0 279 ALPHABET INC CAP STK CL A 02079K305 264 227 SH SOLE 0 0 227 ALTRIA GROUP INC COM 02209S103 878 22697 SH SOLE 0 0 22697 AMAZON COM INC COM 023135106 1139 584 SH SOLE 0 0 584 AMGEN INC COM 031162100 302 1488 SH SOLE 0 0 1487 APPLE INC COM 037833100 4894 19246 SH SOLE 0 0 19245 APPLIED MATLS INC COM 038222105 325 7095 SH SOLE 0 0 7095 ARES CAPITAL CORP COM 04010L103 141 13126 SH SOLE 0 0 13126 AUTOMATIC DATA PROCESSING IN COM 053015103 285 2082 SH SOLE 0 0 2081 BP PLC SPONSORED ADR 055622104 3152 129246 SH SOLE 0 0 129246 BK OF AMERICA CORP COM 060505104 355 16729 SH SOLE 0 0 16729 BERKSHIRE HATHAWAY INC DEL CL A 084670108 544 2 SH SOLE 0 0 2 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1357 7424 SH SOLE 0 0 7424 BLACKROCK ENHANCED EQUITY DI COM 09251A104 343 52458 SH SOLE 0 0 52458 BOEING CO COM 097023105 264 1771 SH SOLE 0 0 1771 CARMAX INC COM 143130102 262 4872 SH SOLE 0 0 4872 CATERPILLAR INC DEL COM 149123101 212 1825 SH SOLE 0 0 1825 CATERPILLAR INC DEL COM 149123101 311 2683 SH SOLE 0 0 2682 CENTURYLINK INC COM 156700106 129 13622 SH SOLE 0 0 13622 CHEVRON CORP NEW COM 166764100 321 4430 SH SOLE 0 0 4429 CINCINNATI FINL CORP COM 172062101 259 3432 SH SOLE 0 0 3432 CISCO SYS INC COM 17275R102 1000 25435 SH SOLE 0 0 25434 COCA COLA CO COM 191216100 402 9088 SH SOLE 0 0 9088 COHEN & STEERS QUALITY INCOM COM 19247L106 341 37684 SH SOLE 0 0 37684 COHEN & STEERS REIT & PFD &I COM 19247X100 638 39603 SH SOLE 0 0 39603 COMCAST CORP NEW CL A 20030N101 262 7626 SH SOLE 0 0 7626 DNP SELECT INCOME FD COM 23325P104 260 26508 SH SOLE 0 0 26508 DISNEY WALT CO COM DISNEY 254687106 243 2514 SH SOLE 0 0 2513 DISNEY WALT CO COM DISNEY 254687106 238 2465 SH SOLE 0 0 2465 DOMINION ENERGY INC COM 25746U109 1152 15963 SH SOLE 0 0 15962 DUKE ENERGY CORP NEW COM NEW 26441C204 268 3314 SH SOLE 0 0 3314 EAGLE BANCORP INC MD COM 268948106 568 18814 SH SOLE 0 0 18813 EATON VANCE RISK MNGD DIV EQ COM 27829G106 118 14160 SH SOLE 0 0 14160 EMERSON ELEC CO COM 291011104 903 18960 SH SOLE 0 0 18959 EXXON MOBIL CORP COM 30231G102 1159 30520 SH SOLE 0 0 30519 FACEBOOK INC CL A 30303M102 291 1747 SH SOLE 0 0 1747 FLAHERTY & CRUMRINE DYN PFD SHS 33848W106 226 11173 SH SOLE 0 0 11173 FOCUS FINL PARTNERS INC COM CL A 34417P100 1987 86373 SH SOLE 0 0 86373 FORD MTR CO DEL COM 345370860 105 21758 SH SOLE 0 0 21757 GENERAL ELECTRIC CO COM 369604103 99 12507 SH SOLE 0 0 12507 GENERAL ELECTRIC CO COM 369604103 178 22392 SH SOLE 0 0 22391 GLOBAL X FDS GLB X SUPERDIV 37950E549 886 95117 SH SOLE 0 0 95117 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 2796 53577 SH SOLE 0 0 53577 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 2085 39944 SH SOLE 0 0 39944 HOME DEPOT INC COM 437076102 290 1553 SH SOLE 0 0 1552 HONEYWELL INTL INC COM 438516106 226 1689 SH SOLE 0 0 1689 INNOVATOR ETFS TR S&P 500 ULTRA 45782C300 259 10073 SH SOLE 0 0 10073 INNOVATOR ETFS TR S&P 500 PWR BU 45782C540 304 12797 SH SOLE 0 0 12797 INNOVATOR ETFS TR RUSSELL 2000 P 45782C599 226 10672 SH SOLE 0 0 10672 INNOVATOR ETFS TR S&P 500 BUFFER 45782C789 1831 77043 SH SOLE 0 0 77043 INNOVATOR ETFS TR S&P 500 PWRETF 45782C797 262 11617 SH SOLE 0 0 11617 INNOVATOR ETFS TR S&P 500 BUFFER 45782C888 3668 147790 SH SOLE 0 0 147790 INTEL CORP COM 458140100 360 6650 SH SOLE 0 0 6649 INTEL CORP COM 458140100 546 10087 SH SOLE 0 0 10087 INTERNATIONAL BUSINESS MACHS COM 459200101 289 2603 SH SOLE 0 0 2602 INVESCO ACTIVELY MANAGED ETF ULTRA SHRT DUR 46090A887 320 6498 SH SOLE 0 0 6497 INVESCO QQQ TR UNIT SER 1 46090E103 283 1486 SH SOLE 0 0 1485 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 1178 11767 SH SOLE 0 0 11767 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 488 5806 SH SOLE 0 0 5806 INVESCO EXCHANGE-TRADED FD T S&P500 LOW VOL 46138E354 2269 48353 SH SOLE 0 0 48352 ISHARES TR S&P 100 ETF 464287101 580 4893 SH SOLE 0 0 4893 ISHARES TR MRNGSTR LG-CP GR 464287119 506 2724 SH SOLE 0 0 2724 ISHARES TR CORE S&P TTL STK 464287150 272 4755 SH SOLE 0 0 4755 ISHARES TR SELECT DIVID ETF 464287168 733 9971 SH SOLE 0 0 9971 ISHARES TR TIPS BD ETF 464287176 892 7569 SH SOLE 0 0 7568 ISHARES TR CORE S&P500 ETF 464287200 3412 13204 SH SOLE 0 0 13203 ISHARES TR CORE US AGGBD ET 464287226 240 2076 SH SOLE 0 0 2076 ISHARES TR CORE US AGGBD ET 464287226 373 3234 SH SOLE 0 0 3234 ISHARES TR MSCI EMG MKT ETF 464287234 1810 53045 SH SOLE 0 0 53044 ISHARES TR S&P 500 GRWT ETF 464287309 2050 12419 SH SOLE 0 0 12419 ISHARES TR NORTH AMERN NAT 464287374 242 14555 SH SOLE 0 0 14555 ISHARES TR MSCI EAFE ETF 464287465 2453 45880 SH SOLE 0 0 45880 ISHARES TR RUS MDCP VAL ETF 464287473 3861 60250 SH SOLE 0 0 60250 ISHARES TR RUS MD CP GR ETF 464287481 2692 22139 SH SOLE 0 0 22139 ISHARES TR RUS MID CAP ETF 464287499 14537 336734 SH SOLE 0 0 336733 ISHARES TR CORE S&P MCP ETF 464287507 827 5751 SH SOLE 0 0 5750 ISHARES TR RUS 1000 VAL ETF 464287598 4401 44377 SH SOLE 0 0 44376 ISHARES TR RUS 1000 GRW ETF 464287614 5230 34714 SH SOLE 0 0 34714 ISHARES TR RUS 1000 ETF 464287622 12349 87255 SH SOLE 0 0 87254 ISHARES TR RUS 2000 VAL ETF 464287630 926 11290 SH SOLE 0 0 11290 ISHARES TR RUS 2000 GRW ETF 464287648 1655 10461 SH SOLE 0 0 10460 ISHARES TR RUSSELL 2000 ETF 464287655 2584 22572 SH SOLE 0 0 22572 ISHARES TR RUSSELL 2000 ETF 464287655 1337 11682 SH SOLE 0 0 11681 ISHARES TR CORE S&P US GWT 464287671 481 8421 SH SOLE 0 0 8421 ISHARES TR RUSSELL 3000 ETF 464287689 548 3697 SH SOLE 0 0 3696 ISHARES TR U.S. FINLS ETF 464287788 1627 16721 SH SOLE 0 0 16721 ISHARES TR CORE S&P SCP ETF 464287804 6670 118866 SH SOLE 0 0 118865 ISHARES TR SHRT NAT MUN ETF 464288158 230 2166 SH SOLE 0 0 2166 ISHARES TR JPMORGAN USD EMG 464288281 1528 15804 SH SOLE 0 0 15803 ISHARES TR NATIONAL MUN ETF 464288414 5078 44931 SH SOLE 0 0 44931 ISHARES TR IBOXX HI YD ETF 464288513 1117 14495 SH SOLE 0 0 14494 ISHARES TR PFD AND INCM SEC 464288687 1260 39560 SH SOLE 0 0 39560 ISHARES TR CORE MSCI TOTAL 46432F834 4701 100007 SH SOLE 0 0 100007 ISHARES TR EXPONENTIAL TECH 46434V381 281 7901 SH SOLE 0 0 7901 ISHARES TR 0-5YR HI YL CP 46434V407 334 8163 SH SOLE 0 0 8163 ISHARES TR CORE DIV GRWTH 46434V621 4605 141312 SH SOLE 0 0 141311 JPMORGAN CHASE & CO COM 46625H100 1087 12070 SH SOLE 0 0 12070 JOHNSON & JOHNSON COM 478160104 516 3935 SH SOLE 0 0 3935 JOHNSON & JOHNSON COM 478160104 1367 10427 SH SOLE 0 0 10427 KRAFT HEINZ CO COM 500754106 222 8981 SH SOLE 0 0 8981 LMP CAP & INCOME FD INC COM 50208A102 287 35639 SH SOLE 0 0 35639 LEGG MASON ETF INVT TR L VOL H DIV ETF 52468L406 4866 188806 SH SOLE 0 0 188805 LENNOX INTL INC COM 526107107 237 1302 SH SOLE 0 0 1302 LOCKHEED MARTIN CORP COM 539830109 997 2940 SH SOLE 0 0 2940 M & T BK CORP COM 55261F104 259 2506 SH SOLE 0 0 2506 MGM RESORTS INTERNATIONAL COM 552953101 202 17118 SH SOLE 0 0 17117 MADISON COVERED CALL & EQUIT COM 557437100 108 21353 SH SOLE 0 0 21352 MARRIOTT INTL INC NEW CL A 571903202 423 5656 SH SOLE 0 0 5656 MARRIOTT INTL INC NEW CL A 571903202 285 3804 SH SOLE 0 0 3804 MCDONALDS CORP COM 580135101 517 3127 SH SOLE 0 0 3127 MERCK & CO. INC COM 58933Y105 918 11929 SH SOLE 0 0 11928 MICROSOFT CORP COM 594918104 745 4725 SH SOLE 0 0 4725 MICROSOFT CORP COM 594918104 1008 6392 SH SOLE 0 0 6392 MONDELEZ INTL INC CL A 609207105 482 9633 SH SOLE 0 0 9632 NEW YORK CMNTY BANCORP INC COM 649445103 288 30647 SH SOLE 0 0 30647 NEXTERA ENERGY INC COM 65339F101 499 2073 SH SOLE 0 0 2073 NORFOLK SOUTHERN CORP COM 655844108 238 1629 SH SOLE 0 0 1628 NORTHROP GRUMMAN CORP COM 666807102 241 796 SH SOLE 0 0 795 NUVEEN VIRGINIA QLTY MUNCPL COM 67064R102 202 15654 SH SOLE 0 0 15654 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 1755 173755 SH SOLE 0 0 173754 NUVEEN S&P 500 DYNAMIC OVERW COM 6706EW100 133 11480 SH SOLE 0 0 11480 NUVEEN PFD & INCM SECURTIES COM 67072C105 365 50238 SH SOLE 0 0 50238 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 308 41906 SH SOLE 0 0 41906 NUVEEN PFD & INCOME TERM FD COM 67075A106 332 18266 SH SOLE 0 0 18266 ORACLE CORP COM 68389X105 666 13771 SH SOLE 0 0 13770 PEPSICO INC COM 713448108 700 5827 SH SOLE 0 0 5827 PFIZER INC COM 717081103 549 16810 SH SOLE 0 0 16810 PFIZER INC COM 717081103 209 6414 SH SOLE 0 0 6414 PHILIP MORRIS INTL INC COM 718172109 1310 17949 SH SOLE 0 0 17948 PIMCO CORPORATE & INCOME OPP COM 72201B101 1077 83396 SH SOLE 0 0 83396 PIMCO ETF TR ACTIVE BD ETF 72201R775 227 2139 SH SOLE 0 0 2139 PROCTER & GAMBLE CO COM 742718109 257 2334 SH SOLE 0 0 2334 PROCTER & GAMBLE CO COM 742718109 589 5359 SH SOLE 0 0 5359 PROSPECT CAPITAL CORPORATION COM 74348T102 51 12033 SH SOLE 0 0 12033 REGENERON PHARMACEUTICALS COM 75886F107 417 853 SH SOLE 0 0 853 REPLIGEN CORP COM 759916109 1173 65049 SH SOLE 0 0 65049 SPDR S&P 500 ETF TR TR UNIT 78462F103 1385 5372 SH SOLE 0 0 5371 SPDR GOLD TRUST GOLD SHS 78463V107 4278 28897 SH SOLE 0 0 28897 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 3852 107012 SH SOLE 0 0 107012 SPDR SER TR WELLS FG PFD ETF 78464A292 787 20088 SH SOLE 0 0 20088 SPDR SER TR BLMBRG BRC CNVRT 78464A359 6437 134504 SH SOLE 0 0 134504 SPDR SER TR PORTFOLI S&P1500 78464A805 1647 52357 SH SOLE 0 0 52357 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 903 3434 SH SOLE 0 0 3434 SPDR SER TR NUVEEN BLMBRG SR 78468R739 3758 76845 SH SOLE 0 0 76845 SALESFORCE COM INC COM 79466L302 200 1391 SH SOLE 0 0 1391 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 7004 87936 SH SOLE 0 0 87935 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 5141 116131 SH SOLE 0 0 116131 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 282 5197 SH SOLE 0 0 5197 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 2291 42060 SH SOLE 0 0 42060 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 324 15577 SH SOLE 0 0 15576 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 674 8390 SH SOLE 0 0 8389 SIRIUS XM HLDGS INC COM 82968B103 100 20329 SH SOLE 0 0 20329 STARBUCKS CORP COM 855244109 305 4641 SH SOLE 0 0 4640 SUNOCO LP COM UT REP LP 86765K109 313 20040 SH SOLE 0 0 20040 THERMO FISHER SCIENTIFIC INC COM 883556102 205 722 SH SOLE 0 0 721 THERMO FISHER SCIENTIFIC INC COM 883556102 246 867 SH SOLE 0 0 867 3M CO COM 88579Y101 251 1838 SH SOLE 0 0 1838 TOWNEBANK PORTSMOUTH VA COM 89214P109 235 12964 SH SOLE 0 0 12964 US BANCORP DEL COM NEW 902973304 391 11351 SH SOLE 0 0 11351 UNDER ARMOUR INC CL C 904311206 118 14646 SH SOLE 0 0 14646 UNITEDHEALTH GROUP INC COM 91324P102 1165 4671 SH SOLE 0 0 4670 UNIVERSAL DISPLAY CORP COM 91347P105 341 2587 SH SOLE 0 0 2587 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 833 50502 SH SOLE 0 0 50501 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 7221 84610 SH SOLE 0 0 84610 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 3357 47444 SH SOLE 0 0 47444 VANGUARD WORLD FDS INF TECH ETF 92204A702 1294 6107 SH SOLE 0 0 6107 VANGUARD INDEX FDS TOTAL STK MKT 922908769 476 3695 SH SOLE 0 0 3694 VERIZON COMMUNICATIONS INC COM 92343V104 1244 23162 SH SOLE 0 0 23161 VISA INC COM CL A 92826C839 547 3398 SH SOLE 0 0 3397 VORNADO RLTY TR SH BEN INT 929042109 206 5679 SH SOLE 0 0 5678 VOYA ASIA PAC DIVID EQUITY I COM 92912J102 175 26836 SH SOLE 0 0 26836 WELLS FARGO CO NEW COM 949746101 412 14355 SH SOLE 0 0 14354 WHEATON PRECIOUS METALS CORP COM 962879102 467 16963 SH SOLE 0 0 16963 WISDOMTREE TR US MIDCAP DIVID 97717W505 916 37919 SH SOLE 0 0 37919 WISDOMTREE TR US SMALLCAP DIVD 97717W604 867 48105 SH SOLE 0 0 48105 WISDOMTREE TR INTL DIV EX FINL 97717W786 488 15506 SH SOLE 0 0 15506 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 279 1711 SH SOLE 0 0 1710