CHIEF COMPLIANCE OFFICER

0001725547-20-000091.txt : 20201113 0001725547-20-000091.hdr.sgml : 20201113 20201113102934 ACCESSION NUMBER: 0001725547-20-000091 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201113 DATE AS OF CHANGE: 20201113 EFFECTIVENESS DATE: 20201113 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: 201309682 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 09-30-2020 09-30-2020 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 11-13-2020 0 207 320385 false INFORMATION TABLE 2 Form13fInfoTable.xml AGCO CORP COM 001084102 213 2869 SH SOLE 0 0 2868 AT&T INC COM 00206R102 1521 53346 SH SOLE 0 0 53346 ARK ETF TR INNOVATION ETF 00214Q104 6125 66571 SH SOLE 0 0 66571 ARK ETF TR GENOMIC REV ETF 00214Q302 393 6169 SH SOLE 0 0 6169 ABBOTT LABS COM 002824100 490 4500 SH SOLE 0 0 4499 ABBVIE INC COM 00287Y109 594 6783 SH SOLE 0 0 6782 ADAMS DIVERSIFIED EQUITY FD COM 006212104 289 17802 SH SOLE 0 0 17802 ADVANCED MICRO DEVICES INC COM 007903107 309 3770 SH SOLE 0 0 3770 ALLIANZGI EQUITY & CONV INCO COM 018829101 2707 111471 SH SOLE 0 0 111471 ALPHABET INC CAP STK CL C 02079K107 406 277 SH SOLE 0 0 276 ALPHABET INC CAP STK CL A 02079K305 340 232 SH SOLE 0 0 232 ALTRIA GROUP INC COM 02209S103 792 20508 SH SOLE 0 0 20508 AMAZON COM INC COM 023135106 1880 597 SH SOLE 0 0 597 AMGEN INC COM 031162100 393 1548 SH SOLE 0 0 1547 APPLE INC COM 037833100 8678 74935 SH SOLE 0 0 74935 APPLIED MATLS INC COM 038222105 478 8047 SH SOLE 0 0 8047 ARES CAPITAL CORP COM 04010L103 194 13878 SH SOLE 0 0 13878 BP PLC SPONSORED ADR 055622104 2018 115562 SH SOLE 0 0 115561 BK OF AMERICA CORP COM 060505104 407 16877 SH SOLE 0 0 16876 BERKSHIRE HATHAWAY INC DEL CL A 084670108 640 2 SH SOLE 0 0 2 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1583 7434 SH SOLE 0 0 7434 BLACKROCK ENHANCED EQUITY DI COM 09251A104 206 28139 SH SOLE 0 0 28138 BOEING CO COM 097023105 561 3392 SH SOLE 0 0 3392 CVS HEALTH CORP COM 126650100 293 5015 SH SOLE 0 0 5014 CARMAX INC COM 143130102 486 5288 SH SOLE 0 0 5288 CATALYST PHARMACEUTICALS INC COM 14888U101 119 40000 SH SOLE 0 0 40000 CATERPILLAR INC DEL COM 149123101 424 2841 SH SOLE 0 0 2841 LUMEN TECHNOLOGIES INC COM 156700106 144 14265 SH SOLE 0 0 14264 CHEVRON CORP NEW COM 166764100 1101 15295 SH SOLE 0 0 15295 CINCINNATI FINL CORP COM 172062101 272 3487 SH SOLE 0 0 3486 CISCO SYS INC COM 17275R102 1021 25932 SH SOLE 0 0 25931 CLOROX CO DEL COM 189054109 242 1151 SH SOLE 0 0 1151 COCA COLA CO COM 191216100 327 6620 SH SOLE 0 0 6620 COHEN & STEERS QUALITY INCOM COM 19247L106 148 13298 SH SOLE 0 0 13298 COHEN & STEERS REIT & PFD &I COM 19247X100 565 27971 SH SOLE 0 0 27971 COMCAST CORP NEW CL A 20030N101 510 11016 SH SOLE 0 0 11015 CONSTELLATION BRANDS INC CL A 21036P108 207 1093 SH SOLE 0 0 1093 COSTCO WHSL CORP NEW COM 22160K105 240 675 SH SOLE 0 0 675 DNP SELECT INCOME FD INC COM 23325P104 123 12240 SH SOLE 0 0 12239 DANAHER CORPORATION COM 235851102 391 1817 SH SOLE 0 0 1816 DISNEY WALT CO COM DISNEY 254687106 443 3572 SH SOLE 0 0 3571 DISNEY WALT CO COM DISNEY 254687106 262 2108 SH SOLE 0 0 2108 DOLLAR GEN CORP NEW COM 256677105 210 1004 SH SOLE 0 0 1004 DOMINION ENERGY INC COM 25746U109 1301 16489 SH SOLE 0 0 16488 DUKE ENERGY CORP NEW COM NEW 26441C204 285 3222 SH SOLE 0 0 3221 EAGLE BANCORP INC MD COM 268948106 531 19814 SH SOLE 0 0 19813 EATON VANCE RISK MNGD DIV EQ COM 27829G106 149 15578 SH SOLE 0 0 15578 EMERSON ELEC CO COM 291011104 250 3820 SH SOLE 0 0 3820 EMERSON ELEC CO COM 291011104 1282 19554 SH SOLE 0 0 19553 EXXON MOBIL CORP COM 30231G102 872 25406 SH SOLE 0 0 25406 FACEBOOK INC CL A 30303M102 403 1539 SH SOLE 0 0 1539 FLAHERTY & CRUMRINE DYN PFD SHS 33848W106 211 7717 SH SOLE 0 0 7717 FOCUS FINL PARTNERS INC COM CL A 34417P100 1091 33282 SH SOLE 0 0 33282 FORD MTR CO DEL COM 345370860 70 10545 SH SOLE 0 0 10545 FUNKO INC COM CL A 361008105 58 10000 SH SOLE 0 0 10000 NEW YORK CMNTY BANCORP INC COM 649445103 83 10000 SH SOLE 0 0 10000 NEW YORK CMNTY BANCORP INC COM 649445103 383 46314 SH SOLE 0 0 46314 NEXTERA ENERGY INC COM 65339F101 419 1511 SH SOLE 0 0 1511 NORFOLK SOUTHN CORP COM 655844108 323 1509 SH SOLE 0 0 1508 NUVEEN VIRGINIA QLTY MUNCPL COM 67064R102 236 15654 SH SOLE 0 0 15654 NVIDIA CORPORATION COM 67066G104 444 820 SH SOLE 0 0 820 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 1873 166073 SH SOLE 0 0 166073 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 265 31209 SH SOLE 0 0 31209 NUVEEN PFD & INCOME TERM FD COM 67075A106 218 9904 SH SOLE 0 0 9904 ORACLE CORP COM 68389X105 816 13665 SH SOLE 0 0 13664 PACER FDS TR TRENDP 100 ETF 69374H303 350 7276 SH SOLE 0 0 7276 PAVMED INC COM 70387R106 180 101200 SH SOLE 0 0 101200 PENN NATL GAMING INC COM 707569109 364 5000 SH SOLE 0 0 5000 PEPSICO INC COM 713448108 895 6456 SH SOLE 0 0 6455 PFIZER INC COM 717081103 585 15937 SH SOLE 0 0 15936 PFIZER INC COM 717081103 207 5651 SH SOLE 0 0 5651 PHILIP MORRIS INTL INC COM 718172109 1071 14286 SH SOLE 0 0 14286 PIMCO CORPORATE & INCOME OPP COM 72201B101 1901 117877 SH SOLE 0 0 117876 PIMCO ETF TR ACTIVE BD ETF 72201R775 342 3040 SH SOLE 0 0 3040 PRINCIPAL EXCHANGE-TRADED FD SPECTRUM PFD 74255Y888 511 25438 SH SOLE 0 0 25437 PROCTER AND GAMBLE CO COM 742718109 426 3062 SH SOLE 0 0 3061 PROCTER AND GAMBLE CO COM 742718109 540 3885 SH SOLE 0 0 3885 PROSPECT CAP CORP COM 74348T102 1020 202702 SH SOLE 0 0 202701 QUALCOMM INC COM 747525103 504 4286 SH SOLE 0 0 4285 RAYTHEON TECHNOLOGIES CORP COM 75513E101 450 7816 SH SOLE 0 0 7815 REGENERON PHARMACEUTICALS COM 75886F107 348 622 SH SOLE 0 0 622 REPLIGEN CORP COM 759916109 2208 67866 SH SOLE 0 0 67866 SPDR S&P 500 ETF TR TR UNIT 78462F103 1062 3170 SH SOLE 0 0 3170 SPDR GOLD TR GOLD SHS 78463V107 5870 33142 SH SOLE 0 0 33142 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 3745 94817 SH SOLE 0 0 94816 SPDR SER TR WELLS FG PFD ETF 78464A292 1303 29971 SH SOLE 0 0 29970 SPDR SER TR BLMBRG BRC CNVRT 78464A359 9639 139920 SH SOLE 0 0 139920 SPDR SER TR PORTFOLI S&P1500 78464A805 2349 57438 SH SOLE 0 0 57438 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1232 3636 SH SOLE 0 0 3636 SPDR SER TR NUVEEN BLMBRG SR 78468R739 4571 91656 SH SOLE 0 0 91656 SPDR SER TR PRTFLO S&P500 HI 78468R788 1588 57962 SH SOLE 0 0 57962 SALESFORCE COM INC COM 79466L302 419 1667 SH SOLE 0 0 1667 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 15198 131959 SH SOLE 0 0 131958 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 7655 146673 SH SOLE 0 0 146672 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 237 4221 SH SOLE 0 0 4221 SCHWAB STRATEGIC TR US TIPS ETF 808524870 1273 20663 SH SOLE 0 0 20663 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 3203 49974 SH SOLE 0 0 49974 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 821 7038 SH SOLE 0 0 7037 SIRIUS XM HOLDINGS INC COM 82968B103 135 25196 SH SOLE 0 0 25195 STARBUCKS CORP COM 855244109 429 4997 SH SOLE 0 0 4996 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 179 11010 SH SOLE 0 0 11009 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 516 21152 SH SOLE 0 0 21151 TESLA INC COM 88160R101 678 1580 SH SOLE 0 0 1580 3M CO COM 88579Y101 361 2255 SH SOLE 0 0 2255 TOWNEBANK PORTSMOUTH VA COM 89214P109 213 12964 SH SOLE 0 0 12964 US BANCORP DEL COM NEW 902973304 430 11993 SH SOLE 0 0 11992 UNDER ARMOUR INC CL C 904311206 139 14109 SH SOLE 0 0 14109 UNION PAC CORP COM 907818108 318 1614 SH SOLE 0 0 1614 UNITEDHEALTH GROUP INC COM 91324P102 841 2699 SH SOLE 0 0 2699 UNIVERSAL DISPLAY CORP COM 91347P105 468 2587 SH SOLE 0 0 2587 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 1138 59333 SH SOLE 0 0 59332 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 9430 106891 SH SOLE 0 0 106891 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 4734 58490 SH SOLE 0 0 58490 VANGUARD WORLD FDS INF TECH ETF 92204A702 2387 7664 SH SOLE 0 0 7663 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 272 5005 SH SOLE 0 0 5005 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1419 7878 SH SOLE 0 0 7878 VANGUARD INDEX FDS SML CP GRW ETF 922908595 265 1231 SH SOLE 0 0 1231 VANGUARD INDEX FDS GROWTH ETF 922908736 222 977 SH SOLE 0 0 976 VANGUARD INDEX FDS SMALL CP ETF 922908751 655 4259 SH SOLE 0 0 4259 VANGUARD INDEX FDS TOTAL STK MKT 922908769 500 2935 SH SOLE 0 0 2934 VERIZON COMMUNICATIONS INC COM 92343V104 1703 28632 SH SOLE 0 0 28631 VISA INC COM CL A 92826C839 707 3536 SH SOLE 0 0 3536 VOYA ASIA PAC DIVID EQUITY I COM 92912J102 213 26836 SH SOLE 0 0 26836 WP CAREY INC COM 92936U109 1107 16989 SH SOLE 0 0 16988 WALMART INC COM 931142103 282 2019 SH SOLE 0 0 2019 GENERAL ELECTRIC CO COM 369604103 126 20242 SH SOLE 0 0 20241 GLADSTONE CAPITAL CORP COM 376535100 77 10350 SH SOLE 0 0 10349 GLOBAL X FDS E COMMERCE ETF 37954Y467 414 15191 SH SOLE 0 0 15191 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 4126 60631 SH SOLE 0 0 60631 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 2611 38373 SH SOLE 0 0 38373 HOME DEPOT INC COM 437076102 821 2955 SH SOLE 0 0 2954 HONEYWELL INTL INC COM 438516106 210 1274 SH SOLE 0 0 1274 INNOVATOR ETFS TR S&P 500 ULTRA 45782C300 288 10073 SH SOLE 0 0 10073 INNOVATOR ETFS TR S&P 500 PWR BU 45782C540 354 12797 SH SOLE 0 0 12797 INNOVATOR ETFS TR S&P 500 PWRETF 45782C797 246 9305 SH SOLE 0 0 9305 INNOVATOR ETFS TR S&P 500 PWR 45782C813 207 7486 SH SOLE 0 0 7486 INNOVATOR ETFS TR S&P 500 BUFFER 45782C888 3987 139563 SH SOLE 0 0 139563 INTEL CORP COM 458140100 529 10213 SH SOLE 0 0 10213 INTEL CORP COM 458140100 423 8162 SH SOLE 0 0 8162 INTERNATIONAL BUSINESS MACHS COM 459200101 301 2473 SH SOLE 0 0 2472 INVESCO ACTIVELY MANAGED ETF ULTRA SHRT DUR 46090A887 792 15674 SH SOLE 0 0 15674 INVESCO QQQ TR UNIT SER 1 46090E103 403 1451 SH SOLE 0 0 1451 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 2220 15675 SH SOLE 0 0 15675 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 624 5768 SH SOLE 0 0 5767 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 3164 58985 SH SOLE 0 0 58985 ISHARES TR S&P 100 ETF 464287101 679 4362 SH SOLE 0 0 4362 ISHARES TR MRNGSTR LG-CP GR 464287119 971 3630 SH SOLE 0 0 3630 ISHARES TR CORE S&P TTL STK 464287150 359 4755 SH SOLE 0 0 4755 ISHARES TR SELECT DIVID ETF 464287168 1003 12303 SH SOLE 0 0 12303 ISHARES TR TIPS BD ETF 464287176 1966 15539 SH SOLE 0 0 15539 ISHARES TR CORE S&P500 ETF 464287200 4416 13141 SH SOLE 0 0 13141 ISHARES TR CORE US AGGBD ET 464287226 425 3603 SH SOLE 0 0 3602 ISHARES TR CORE US AGGBD ET 464287226 682 5774 SH SOLE 0 0 5774 ISHARES TR MSCI EMG MKT ETF 464287234 1963 44521 SH SOLE 0 0 44521 ISHARES TR S&P 500 GRWT ETF 464287309 2716 11753 SH SOLE 0 0 11753 ISHARES TR NORTH AMERN NAT 464287374 286 14456 SH SOLE 0 0 14456 ISHARES TR MSCI EAFE ETF 464287465 2807 44099 SH SOLE 0 0 44099 ISHARES TR RUS MDCP VAL ETF 464287473 4885 60425 SH SOLE 0 0 60424 ISHARES TR RUS MD CP GR ETF 464287481 3606 20857 SH SOLE 0 0 20856 ISHARES TR RUS MID CAP ETF 464287499 17986 313449 SH SOLE 0 0 313448 ISHARES TR CORE S&P MCP ETF 464287507 1017 5487 SH SOLE 0 0 5487 ISHARES TR RUS 1000 VAL ETF 464287598 5212 44122 SH SOLE 0 0 44121 ISHARES TR RUS 1000 GRW ETF 464287614 6990 32229 SH SOLE 0 0 32228 ISHARES TR RUS 1000 ETF 464287622 15046 80393 SH SOLE 0 0 80393 ISHARES TR RUS 2000 VAL ETF 464287630 1700 17116 SH SOLE 0 0 17115 ISHARES TR RUS 2000 GRW ETF 464287648 2106 9509 SH SOLE 0 0 9508 ISHARES TR RUSSELL 2000 ETF 464287655 1758 11734 SH SOLE 0 0 11734 ISHARES TR RUSSELL 2000 ETF 464287655 4080 27239 SH SOLE 0 0 27239 ISHARES TR CORE S&P US GWT 464287671 674 8421 SH SOLE 0 0 8421 ISHARES TR RUSSELL 3000 ETF 464287689 729 3724 SH SOLE 0 0 3723 ISHARES TR U.S. TECH ETF 464287721 278 924 SH SOLE 0 0 924 ISHARES TR U.S. FINLS ETF 464287788 1981 17456 SH SOLE 0 0 17455 ISHARES TR CORE S&P SCP ETF 464287804 8022 114221 SH SOLE 0 0 114221 ISHARES TR JPMORGAN USD EMG 464288281 1742 15713 SH SOLE 0 0 15713 ISHARES TR NATIONAL MUN ETF 464288414 7157 61739 SH SOLE 0 0 61739 ISHARES TR IBOXX HI YD ETF 464288513 1269 15127 SH SOLE 0 0 15126 ISHARES TR PFD AND INCM SEC 464288687 1383 37951 SH SOLE 0 0 37950 ISHARES TR CORE MSCI TOTAL 46432F834 5490 94095 SH SOLE 0 0 94095 ISHARES TR 0-5YR HI YL CP 46434V407 368 8384 SH SOLE 0 0 8384 ISHARES TR CORE DIV GRWTH 46434V621 7596 190902 SH SOLE 0 0 190902 ISHARES TR ESG AWR MSCI USA 46435G425 391 5130 SH SOLE 0 0 5130 JPMORGAN CHASE & CO COM 46625H100 1645 17090 SH SOLE 0 0 17089 J P MORGAN EXCHANGE-TRADED F US AGGREGATE 46641Q613 244 8727 SH SOLE 0 0 8726 JOHNSON & JOHNSON COM 478160104 462 3105 SH SOLE 0 0 3105 JOHNSON & JOHNSON COM 478160104 1648 11068 SH SOLE 0 0 11068 LMP CAP & INCOME FD INC COM 50208A102 347 34053 SH SOLE 0 0 34053 LEGG MASON ETF INVT TR L VOL H DIV ETF 52468L406 7168 241994 SH SOLE 0 0 241993 LOCKHEED MARTIN CORP COM 539830109 1077 2811 SH SOLE 0 0 2811 M & T BK CORP COM 55261F104 230 2494 SH SOLE 0 0 2493 MGM RESORTS INTERNATIONAL COM 552953101 555 25515 SH SOLE 0 0 25514 MARRIOTT INTL INC NEW CL A 571903202 377 4074 SH SOLE 0 0 4074 MARRIOTT INTL INC NEW CL A 571903202 321 3470 SH SOLE 0 0 3470 MCDONALDS CORP COM 580135101 502 2285 SH SOLE 0 0 2285 MCDONALDS CORP COM 580135101 450 2051 SH SOLE 0 0 2051 MERCK & CO. INC COM 58933Y105 1044 12582 SH SOLE 0 0 12582 MICROSOFT CORP COM 594918104 1037 4932 SH SOLE 0 0 4932 MICROSOFT CORP COM 594918104 1516 7208 SH SOLE 0 0 7208 MONDELEZ INTL INC CL A 609207105 576 10031 SH SOLE 0 0 10030 WELLS FARGO CO NEW COM 949746101 415 17631 SH SOLE 0 0 17631 WESCO INTL INC COM 95082P105 296 6725 SH SOLE 0 0 6725 WISDOMTREE TR US MIDCAP DIVID 97717W505 1586 54830 SH SOLE 0 0 54830 WISDOMTREE TR INTL DIV EX FINL 97717W786 2386 66329 SH SOLE 0 0 66329 WISDOMTREE TR EM EX ST-OWNED 97717X578 446 13251 SH SOLE 0 0 13251 WISDOMTREE TR US S CAP QTY DIV 97717X651 1483 48292 SH SOLE 0 0 48292 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 384 1697 SH SOLE 0 0 1697 MEDTRONIC PLC SHS G5960L103 201 1930 SH SOLE 0 0 1930 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 211 3000 SH SOLE 0 0 3000