CHIEF COMPLIANCE OFFICER

0001725547-20-000064.txt : 20200731 0001725547-20-000064.hdr.sgml : 20200731 20200731155629 ACCESSION NUMBER: 0001725547-20-000064 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200731 DATE AS OF CHANGE: 20200731 EFFECTIVENESS DATE: 20200731 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: 201065885 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 06-30-2020 06-30-2020 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 07-31-2020 0 190 288176 false INFORMATION TABLE 2 Form13fInfoTable.xml AT&T INC COM 00206R102 1536 50815 SH SOLE 0 0 50815 ARK ETF TR INNOVATION ETF 00214Q104 4451 62412 SH SOLE 0 0 62412 ARK ETF TR GENOMIC REV ETF 00214Q302 322 6169 SH SOLE 0 0 6169 ABBOTT LABS COM 002824100 411 4498 SH SOLE 0 0 4497 ABBVIE INC COM 00287Y109 480 4891 SH SOLE 0 0 4890 ABERDEEN GLOBAL PREMIER PPTY COM SH BEN INT 00302L108 61 13173 SH SOLE 0 0 13172 ADAMS DIVERSIFIED EQUITY FD COM 006212104 275 18424 SH SOLE 0 0 18424 ADVANCED MICRO DEVICES INC COM 007903107 263 5000 SH Call SOLE 0 0 0 ADVANCED MICRO DEVICES INC COM 007903107 346 6570 SH SOLE 0 0 6570 ALLIANZGI EQUITY & CONV INCO COM 018829101 2255 100314 SH SOLE 0 0 100314 ALPHABET INC CAP STK CL C 02079K107 416 295 SH SOLE 0 0 294 ALPHABET INC CAP STK CL A 02079K305 288 203 SH SOLE 0 0 203 ALTRIA GROUP INC COM 02209S103 933 23761 SH SOLE 0 0 23760 AMAZON COM INC COM 023135106 1614 585 SH SOLE 0 0 585 AMERISOURCEBERGEN CORP COM 03073E105 262 2603 SH SOLE 0 0 2602 AMGEN INC COM 031162100 351 1489 SH SOLE 0 0 1489 APPLE INC COM 037833100 7791 21356 SH SOLE 0 0 21356 APPLIED MATLS INC COM 038222105 481 7959 SH SOLE 0 0 7958 ARES CAPITAL CORP COM 04010L103 195 13496 SH SOLE 0 0 13496 BP PLC SPONSORED ADR 055622104 3065 131435 SH SOLE 0 0 131435 BK OF AMERICA CORP COM 060505104 400 16824 SH SOLE 0 0 16824 BERKSHIRE HATHAWAY INC DEL CL A 084670108 535 2 SH SOLE 0 0 2 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1308 7325 SH SOLE 0 0 7325 BLACKROCK ENHANCED EQUITY DI COM 09251A104 206 28133 SH SOLE 0 0 28133 BOEING CO COM 097023105 478 2607 SH SOLE 0 0 2607 CACI INTL INC CL A 127190304 768 3541 SH SOLE 0 0 3541 CARMAX INC COM 143130102 513 5733 SH SOLE 0 0 5733 CATALYST PHARMACEUTICALS INC COM 14888U101 185 40000 SH SOLE 0 0 40000 CATERPILLAR INC DEL COM 149123101 534 4218 SH SOLE 0 0 4217 CENTURYLINK INC COM 156700106 177 17661 SH SOLE 0 0 17660 CHEVRON CORP NEW COM 166764100 796 8917 SH SOLE 0 0 8917 CINCINNATI FINL CORP COM 172062101 221 3457 SH SOLE 0 0 3457 CISCO SYS INC COM 17275R102 1154 24743 SH SOLE 0 0 24742 CLOROX CO DEL COM 189054109 252 1151 SH SOLE 0 0 1150 COCA COLA CO COM 191216100 420 9411 SH SOLE 0 0 9411 COHEN & STEERS QUALITY INCOM COM 19247L106 219 20055 SH SOLE 0 0 20055 COHEN & STEERS REIT & PFD &I COM 19247X100 549 28705 SH SOLE 0 0 28705 COMCAST CORP NEW CL A 20030N101 296 7600 SH SOLE 0 0 7600 DNP SELECT INCOME FD COM 23325P104 294 26980 SH SOLE 0 0 26980 DANAHER CORPORATION COM 235851102 273 1544 SH SOLE 0 0 1543 DISNEY WALT CO COM DISNEY 254687106 674 6040 SH SOLE 0 0 6040 DOMINION ENERGY INC COM 25746U109 1305 16073 SH SOLE 0 0 16072 DUKE ENERGY CORP NEW COM NEW 26441C204 266 3328 SH SOLE 0 0 3328 EAGLE BANCORP INC MD COM 268948106 635 19389 SH SOLE 0 0 19388 EATON VANCE RISK MNGD DIV EQ COM 27829G106 135 14160 SH SOLE 0 0 14160 EMERSON ELEC CO COM 291011104 1304 21027 SH SOLE 0 0 21026 EXXON MOBIL CORP COM 30231G102 1291 28867 SH SOLE 0 0 28866 FACEBOOK INC CL A 30303M102 397 1749 SH SOLE 0 0 1749 PEPSICO INC COM 713448108 779 5888 SH SOLE 0 0 5887 PFIZER INC COM 717081103 729 22303 SH SOLE 0 0 22303 PHILIP MORRIS INTL INC COM 718172109 1323 18886 SH SOLE 0 0 18886 PIMCO CORPORATE & INCOME OPP COM 72201B101 1745 112479 SH SOLE 0 0 112478 PIMCO ETF TR ACTIVE BD ETF 72201R775 240 2155 SH SOLE 0 0 2154 PROCTER AND GAMBLE CO COM 742718109 750 6270 SH SOLE 0 0 6269 PROSPECT CAP CORP COM 74348T102 661 129346 SH SOLE 0 0 129345 RAYTHEON TECHNOLOGIES CORP COM 75513E101 489 7941 SH SOLE 0 0 7940 REGENERON PHARMACEUTICALS COM 75886F107 450 722 SH SOLE 0 0 722 REPLIGEN CORP COM 759916109 1501 65049 SH SOLE 0 0 65049 SPDR S&P 500 ETF TR TR UNIT 78462F103 961 3117 SH SOLE 0 0 3116 SPDR GOLD TR GOLD SHS 78463V107 5172 30901 SH SOLE 0 0 30901 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 4074 104380 SH SOLE 0 0 104380 SPDR SER TR WELLS FG PFD ETF 78464A292 966 23090 SH SOLE 0 0 23089 SPDR SER TR BLMBRG BRC CNVRT 78464A359 8343 137904 SH SOLE 0 0 137904 SPDR SER TR PORTFOLI S&P1500 78464A805 2198 58189 SH SOLE 0 0 58188 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1145 3528 SH SOLE 0 0 3528 SPDR SER TR NUVEEN BLMBRG SR 78468R739 4233 84871 SH SOLE 0 0 84871 SPDR SER TR PRTFLO S&P500 HI 78468R788 1294 46472 SH SOLE 0 0 46472 SALESFORCE COM INC COM 79466L302 309 1649 SH SOLE 0 0 1649 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 12623 124316 SH SOLE 0 0 124315 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 6522 130155 SH SOLE 0 0 130155 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 264 4696 SH SOLE 0 0 4696 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 2672 45563 SH SOLE 0 0 45563 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 824 7889 SH SOLE 0 0 7888 SIRIUS XM HOLDINGS INC COM 82968B103 148 25139 SH SOLE 0 0 25139 STARBUCKS CORP COM 855244109 354 4810 SH SOLE 0 0 4809 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 471 20621 SH SOLE 0 0 20621 TESLA INC COM 88160R101 346 320 SH SOLE 0 0 320 THERMO FISHER SCIENTIFIC INC COM 883556102 360 993 SH SOLE 0 0 993 3M CO COM 88579Y101 224 1439 SH SOLE 0 0 1439 TOWNEBANK PORTSMOUTH VA COM 89214P109 244 12964 SH SOLE 0 0 12964 US BANCORP DEL COM NEW 902973304 419 11392 SH SOLE 0 0 11392 UNDER ARMOUR INC CL C 904311206 125 14109 SH SOLE 0 0 14109 UNITEDHEALTH GROUP INC COM 91324P102 988 3348 SH SOLE 0 0 3348 UNIVERSAL DISPLAY CORP COM 91347P105 387 2587 SH SOLE 0 0 2587 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 927 50916 SH SOLE 0 0 50915 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 8380 94862 SH SOLE 0 0 94862 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 4159 52797 SH SOLE 0 0 52797 VANGUARD WORLD FDS INF TECH ETF 92204A702 2027 7272 SH SOLE 0 0 7272 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 684 4141 SH SOLE 0 0 4141 VANGUARD INDEX FDS SML CP GRW ETF 922908595 247 1235 SH SOLE 0 0 1235 VANGUARD INDEX FDS GROWTH ETF 922908736 239 1182 SH SOLE 0 0 1181 VANGUARD INDEX FDS SMALL CP ETF 922908751 558 3828 SH SOLE 0 0 3827 VANGUARD INDEX FDS TOTAL STK MKT 922908769 552 3525 SH SOLE 0 0 3525 VERIZON COMMUNICATIONS INC COM 92343V104 1203 21819 SH SOLE 0 0 21818 VISA INC COM CL A 92826C839 640 3314 SH SOLE 0 0 3314 VOYA ASIA PAC DIVID EQUITY I COM 92912J102 261 33986 SH SOLE 0 0 33986 WP CAREY INC COM 92936U109 428 6334 SH SOLE 0 0 6333 WAYFAIR INC CL A 94419L101 395 2000 SH SOLE 0 0 2000 WAYFAIR INC CL A 94419L101 395 2000 SH Call SOLE 0 0 0 WELLS FARGO CO NEW COM 949746101 630 24599 SH SOLE 0 0 24598 WHEATON PRECIOUS METALS CORP COM 962879102 445 10099 SH SOLE 0 0 10099 WILLIAMS COS INC COM 969457100 221 11613 SH SOLE 0 0 11613 WISDOMTREE TR US MIDCAP DIVID 97717W505 1339 47259 SH SOLE 0 0 47259 WISDOMTREE TR US SMALLCAP DIVD 97717W604 1287 60745 SH SOLE 0 0 60745 WISDOMTREE TR INTL DIV EX FINL 97717W786 1465 41239 SH SOLE 0 0 41239 WISDOMTREE TR EM EX ST-OWNED 97717X578 338 11287 SH SOLE 0 0 11286 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 360 1677 SH SOLE 0 0 1676 FOCUS FINL PARTNERS INC COM CL A 34417P100 1893 57262 SH SOLE 0 0 57262 FORD MTR CO DEL COM 345370860 74 12239 SH SOLE 0 0 12239 GENERAL ELECTRIC CO COM 369604103 201 29489 SH SOLE 0 0 29489 GLADSTONE CAPITAL CORP COM 376535100 74 10087 SH SOLE 0 0 10086 GLOBAL X FDS E COMMERCE ETF 37954Y467 359 15191 SH SOLE 0 0 15191 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 5949 95037 SH SOLE 0 0 95037 HOME DEPOT INC COM 437076102 432 1723 SH SOLE 0 0 1723 HONEYWELL INTL INC COM 438516106 279 1927 SH SOLE 0 0 1926 INNOVATOR ETFS TR S&P 500 ULTRA 45782C300 279 10073 SH SOLE 0 0 10073 INNOVATOR ETFS TR S&P 500 PWR BU 45782C540 339 12797 SH SOLE 0 0 12797 INNOVATOR ETFS TR RUSSELL 2000 P 45782C599 255 10672 SH SOLE 0 0 10672 INNOVATOR ETFS TR S&P 500 PWRETF 45782C797 293 11617 SH SOLE 0 0 11617 INNOVATOR ETFS TR S&P 500 PWR 45782C813 200 7486 SH SOLE 0 0 7486 INNOVATOR ETFS TR S&P 500 BUFFER 45782C888 3965 143641 SH SOLE 0 0 143641 INTEL CORP COM 458140100 997 16667 SH SOLE 0 0 16667 INTERNATIONAL BUSINESS MACHS COM 459200101 317 2622 SH SOLE 0 0 2622 INVESCO ACTIVELY MANAGED ETF ULTRA SHRT DUR 46090A887 419 8313 SH SOLE 0 0 8313 INVESCO QQQ TR UNIT SER 1 46090E103 401 1697 SH SOLE 0 0 1696 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 1524 11767 SH SOLE 0 0 11767 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 589 5793 SH SOLE 0 0 5792 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 2723 54815 SH SOLE 0 0 54814 IRON MTN INC NEW COM 46284V101 201 7718 SH SOLE 0 0 7717 ISHARES TR S&P 100 ETF 464287101 616 4325 SH SOLE 0 0 4325 ISHARES TR MRNGSTR LG-CP GR 464287119 639 2724 SH SOLE 0 0 2724 ISHARES TR CORE S&P TTL STK 464287150 330 4755 SH SOLE 0 0 4755 ISHARES TR SELECT DIVID ETF 464287168 998 12370 SH SOLE 0 0 12369 ISHARES TR TIPS BD ETF 464287176 755 6140 SH SOLE 0 0 6139 ISHARES TR CORE S&P500 ETF 464287200 4141 13371 SH SOLE 0 0 13371 ISHARES TR CORE US AGGBD ET 464287226 700 5926 SH SOLE 0 0 5925 ISHARES TR MSCI EMG MKT ETF 464287234 1868 46720 SH SOLE 0 0 46719 ISHARES TR S&P 500 GRWT ETF 464287309 2603 12544 SH SOLE 0 0 12543 ISHARES TR NORTH AMERN NAT 464287374 323 14899 SH SOLE 0 0 14899 ISHARES TR MSCI EAFE ETF 464287465 2735 44926 SH SOLE 0 0 44925 ISHARES TR RUS MDCP VAL ETF 464287473 4638 60603 SH SOLE 0 0 60602 ISHARES TR RUS MD CP GR ETF 464287481 3680 23275 SH SOLE 0 0 23274 ISHARES TR RUS MID CAP ETF 464287499 17470 325931 SH SOLE 0 0 325930 ISHARES TR CORE S&P MCP ETF 464287507 1035 5821 SH SOLE 0 0 5820 ISHARES TR RUS 1000 VAL ETF 464287598 4939 43853 SH SOLE 0 0 43853 ISHARES TR RUS 1000 GRW ETF 464287614 6504 33883 SH SOLE 0 0 33883 ISHARES TR RUS 1000 ETF 464287622 14379 83755 SH SOLE 0 0 83755 ISHARES TR RUS 2000 VAL ETF 464287630 1184 12149 SH SOLE 0 0 12149 ISHARES TR RUS 2000 GRW ETF 464287648 2042 9871 SH SOLE 0 0 9870 ISHARES TR RUSSELL 2000 ETF 464287655 5126 35799 SH SOLE 0 0 35799 ISHARES TR CORE S&P US GWT 464287671 605 8421 SH SOLE 0 0 8421 ISHARES TR RUSSELL 3000 ETF 464287689 696 3864 SH SOLE 0 0 3863 ISHARES TR U.S. TECH ETF 464287721 321 1189 SH SOLE 0 0 1189 ISHARES TR U.S. FINLS ETF 464287788 1923 17456 SH SOLE 0 0 17455 ISHARES TR CORE S&P SCP ETF 464287804 8149 119324 SH SOLE 0 0 119323 ISHARES TR JPMORGAN USD EMG 464288281 1713 15679 SH SOLE 0 0 15679 ISHARES TR NATIONAL MUN ETF 464288414 6430 55721 SH SOLE 0 0 55721 ISHARES TR IBOXX HI YD ETF 464288513 1230 15074 SH SOLE 0 0 15073 ISHARES TR PFD AND INCM SEC 464288687 1510 43596 SH SOLE 0 0 43596 ISHARES TR CORE MSCI TOTAL 46432F834 5307 97335 SH SOLE 0 0 97335 ISHARES TR EXPONENTIAL TECH 46434V381 352 7912 SH SOLE 0 0 7912 ISHARES TR 0-5YR HI YL CP 46434V407 355 8277 SH SOLE 0 0 8277 ISHARES TR CORE DIV GRWTH 46434V621 5741 152686 SH SOLE 0 0 152685 ISHARES TR ESG MSCI USA ETF 46435G425 363 5192 SH SOLE 0 0 5192 JPMORGAN CHASE & CO COM 46625H100 1113 11833 SH SOLE 0 0 11833 JOHNSON & JOHNSON COM 478160104 1877 13348 SH SOLE 0 0 13348 KRAFT HEINZ CO COM 500754106 286 8982 SH SOLE 0 0 8981 LMP CAP & INCOME FD INC COM 50208A102 399 39898 SH SOLE 0 0 39898 LEGG MASON ETF INVT TR L VOL H DIV ETF 52468L406 6203 215538 SH SOLE 0 0 215537 LOCKHEED MARTIN CORP COM 539830109 1139 3121 SH SOLE 0 0 3121 M & T BK CORP COM 55261F104 263 2533 SH SOLE 0 0 2533 MGM RESORTS INTERNATIONAL COM 552953101 383 22814 SH SOLE 0 0 22813 MARRIOTT INTL INC NEW CL A 571903202 792 9234 SH SOLE 0 0 9234 MCDONALDS CORP COM 580135101 629 3409 SH SOLE 0 0 3408 MERCK & CO. INC COM 58933Y105 987 12761 SH SOLE 0 0 12761 MICROSOFT CORP COM 594918104 2267 11140 SH SOLE 0 0 11140 MONDELEZ INTL INC CL A 609207105 499 9758 SH SOLE 0 0 9758 NEW YORK CMNTY BANCORP INC COM 649445103 324 31801 SH SOLE 0 0 31800 NEXTERA ENERGY INC COM 65339F101 256 1066 SH SOLE 0 0 1065 NORFOLK SOUTHERN CORP COM 655844108 363 2069 SH SOLE 0 0 2068 NORTHROP GRUMMAN CORP COM 666807102 259 842 SH SOLE 0 0 841 NUVEEN VIRGINIA QLTY MUNCPL COM 67064R102 224 15654 SH SOLE 0 0 15654 NVIDIA CORPORATION COM 67066G104 312 820 SH SOLE 0 0 820 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 1524 138539 SH SOLE 0 0 138539 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 257 31209 SH SOLE 0 0 31209 NUVEEN PFD & INCOME TERM FD COM 67075A106 267 11774 SH SOLE 0 0 11774 OMNICOM GROUP INC COM 681919106 271 4955 SH SOLE 0 0 4954 ORACLE CORP COM 68389X105 764 13819 SH SOLE 0 0 13819 PACER FDS TR TRENDP 100 ETF 69374H303 247 5792 SH SOLE 0 0 5792 PAVMED INC COM 70387R106 214 101200 SH SOLE 0 0 101200