CHIEF COMPLIANCE OFFICER

0001725547-21-000011.txt : 20210208 0001725547-21-000011.hdr.sgml : 20210208 20210208110952 ACCESSION NUMBER: 0001725547-21-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210208 DATE AS OF CHANGE: 20210208 EFFECTIVENESS DATE: 20210208 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: 21600020 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 12-31-2020 12-31-2020 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 02-08-2021 0 212 385770 false INFORMATION TABLE 2 Form13fInfoTable.xml TESLA INC COM 88160R101 1146 1624 SH SOLE 0 0 1624 THERMO FISHER SCIENTIFIC INC COM 883556102 201 431 SH SOLE 0 0 431 3M CO COM 88579Y101 435 2488 SH SOLE 0 0 2487 TOWNEBANK PORTSMOUTH VA COM 89214P109 304 12964 SH SOLE 0 0 12964 TRUIST FINL CORP COM 89832Q109 229 4767 SH SOLE 0 0 4767 US BANCORP DEL COM NEW 902973304 554 11893 SH SOLE 0 0 11892 UNDER ARMOUR INC CL C 904311206 214 14359 SH SOLE 0 0 14359 UNION PAC CORP COM 907818108 382 1834 SH SOLE 0 0 1834 UNITED AIRLS HLDGS INC COM 910047109 412 9535 SH SOLE 0 0 9535 UNITEDHEALTH GROUP INC COM 91324P102 947 2701 SH SOLE 0 0 2700 UNIVERSAL DISPLAY CORP COM 91347P105 594 2587 SH SOLE 0 0 2587 UNUM GROUP COM 91529Y106 280 12200 SH SOLE 0 0 12200 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 1339 65095 SH SOLE 0 0 65094 BP PLC SPONSORED ADR 055622104 769 37496 SH SOLE 0 0 37496 VANGUARD WORLD FD MEGA GRWTH IND 921910816 232 1141 SH SOLE 0 0 1141 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 9847 111652 SH SOLE 0 0 111652 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 5548 60632 SH SOLE 0 0 60631 VANGUARD WORLD FDS INF TECH ETF 92204A702 3209 9071 SH SOLE 0 0 9070 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 281 5091 SH SOLE 0 0 5090 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 2109 9946 SH SOLE 0 0 9945 VANGUARD INDEX FDS SML CP GRW ETF 922908595 331 1235 SH SOLE 0 0 1235 ARK ETF TR INNOVATION ETF 00214Q104 8600 69085 SH SOLE 0 0 69085 VANGUARD INDEX FDS GROWTH ETF 922908736 457 1802 SH SOLE 0 0 1802 VANGUARD INDEX FDS SMALL CP ETF 922908751 858 4407 SH SOLE 0 0 4406 VANGUARD INDEX FDS TOTAL STK MKT 922908769 560 2878 SH SOLE 0 0 2877 VERIZON COMMUNICATIONS INC COM 92343V104 1778 30271 SH SOLE 0 0 30270 VISA INC COM CL A 92826C839 716 3273 SH SOLE 0 0 3273 VOYA ASIA PAC HIGH DIV EQT I COM 92912J102 232 26836 SH SOLE 0 0 26836 WP CAREY INC COM 92936U109 1638 23201 SH SOLE 0 0 23200 WALMART INC COM 931142103 472 3275 SH SOLE 0 0 3275 WELLS FARGO CO NEW COM 949746101 540 17893 SH SOLE 0 0 17893 WESCO INTL INC COM 95082P105 537 6845 SH SOLE 0 0 6845 WILLIAMS COS INC COM 969457100 211 10539 SH SOLE 0 0 10538 WISDOMTREE TR INTL DIV EX FINL 97717W786 3229 79865 SH SOLE 0 0 79865 WISDOMTREE TR EM EX ST-OWNED 97717X578 632 15922 SH SOLE 0 0 15921 WISDOMTREE TR US S CAP QTY DIV 97717X651 1903 48122 SH SOLE 0 0 48122 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 443 1698 SH SOLE 0 0 1697 BK OF AMERICA CORP COM 060505104 548 18073 SH SOLE 0 0 18072 MEDTRONIC PLC SHS G5960L103 249 2122 SH SOLE 0 0 2121 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 203 2219 SH SOLE 0 0 2219 ARK ETF TR GENOMIC REV ETF 00214Q302 575 6169 SH SOLE 0 0 6169 NEW YORK CMNTY BANCORP INC COM 649445103 106 15000 SH Call SOLE 0 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 696 2 SH SOLE 0 0 2 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1851 7984 SH SOLE 0 0 7984 ABBOTT LABS COM 002824100 493 4502 SH SOLE 0 0 4501 BLACKROCK ENHANCED EQUITY DI COM 09251A104 238 28144 SH SOLE 0 0 28144 ABBVIE INC COM 00287Y109 847 7901 SH SOLE 0 0 7901 BOEING CO COM 097023105 793 3704 SH SOLE 0 0 3704 BROADCOM INC COM 11135F101 253 577 SH SOLE 0 0 577 BROOKFIELD RENEWABLE CORP CL A SUB VTG 11284V105 381 6540 SH SOLE 0 0 6540 BROWN FORMAN CORP CL B 115637209 203 2550 SH SOLE 0 0 2550 CVS HEALTH CORP COM 126650100 240 3515 SH SOLE 0 0 3515 ADAMS DIVERSIFIED EQUITY FD COM 006212104 180 10411 SH SOLE 0 0 10411 AGCO CORP COM 001084102 296 2874 SH SOLE 0 0 2873 CAPITAL ONE FINL CORP COM 14040H105 220 2228 SH SOLE 0 0 2228 CARMAX INC COM 143130102 625 6613 SH SOLE 0 0 6613 CATALYST PHARMACEUTICALS INC COM 14888U101 134 40000 SH SOLE 0 0 40000 CATERPILLAR INC COM 149123101 764 4196 SH SOLE 0 0 4196 LUMEN TECHNOLOGIES INC COM 156700106 234 24008 SH SOLE 0 0 24007 CHEVRON CORP NEW COM 166764100 3357 39746 SH SOLE 0 0 39745 CINCINNATI FINL CORP COM 172062101 307 3513 SH SOLE 0 0 3512 CISCO SYS INC COM 17275R102 1168 26090 SH SOLE 0 0 26089 CLOROX CO DEL COM 189054109 233 1152 SH SOLE 0 0 1151 COCA COLA CO COM 191216100 551 10055 SH SOLE 0 0 10055 COHEN & STEERS QUALITY INCOM COM 19247L106 146 11807 SH SOLE 0 0 11807 COHEN & STEERS REIT & PFD &I COM 19247X100 609 26663 SH SOLE 0 0 26663 COMCAST CORP NEW CL A 20030N101 679 12956 SH SOLE 0 0 12956 CONSTELLATION BRANDS INC CL A 21036P108 316 1441 SH SOLE 0 0 1441 COSTCO WHSL CORP NEW COM 22160K105 227 602 SH SOLE 0 0 601 DNP SELECT INCOME FD INC COM 23325P104 128 12434 SH SOLE 0 0 12433 DANAHER CORPORATION COM 235851102 547 2461 SH SOLE 0 0 2460 DISNEY WALT CO COM 254687106 1206 6655 SH SOLE 0 0 6654 DOMINION ENERGY INC COM 25746U109 1233 16401 SH SOLE 0 0 16400 DUKE ENERGY CORP NEW COM NEW 26441C204 296 3236 SH SOLE 0 0 3235 EAGLE BANCORP INC MD COM 268948106 758 18345 SH SOLE 0 0 18344 EATON VANCE RISK-MANAGED DIV COM 27829G106 162 15578 SH SOLE 0 0 15578 EMERSON ELEC CO COM 291011104 1733 21567 SH SOLE 0 0 21567 EXXON MOBIL CORP COM 30231G102 864 20954 SH SOLE 0 0 20954 FACEBOOK INC CL A 30303M102 447 1636 SH SOLE 0 0 1636 FOCUS FINL PARTNERS INC COM CL A 34417P100 752 17282 SH SOLE 0 0 17281 FORD MTR CO DEL COM 345370860 105 11920 SH SOLE 0 0 11920 FUNKO INC COM CL A 361008105 104 10000 SH SOLE 0 0 10000 GENERAL ELECTRIC CO COM 369604103 328 30414 SH SOLE 0 0 30413 ALLIANZGI EQUITY & CONV INCO COM 018829101 3213 113614 SH SOLE 0 0 113614 GLADSTONE CAPITAL CORP COM 376535100 94 10603 SH SOLE 0 0 10602 GLOBAL X FDS E COMMERCE ETF 37954Y467 484 15191 SH SOLE 0 0 15191 GOLDMAN SACHS GROUP INC COM 38141G104 372 1411 SH SOLE 0 0 1411 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 7614 100593 SH SOLE 0 0 100592 ALPHABET INC CAP STK CL C 02079K107 484 277 SH SOLE 0 0 276 HOME DEPOT INC COM 437076102 1036 3899 SH SOLE 0 0 3899 HONEYWELL INTL INC COM 438516106 312 1467 SH SOLE 0 0 1466 ALPHABET INC CAP STK CL A 02079K305 517 295 SH SOLE 0 0 295 ILLINOIS TOOL WKS INC COM 452308109 305 1496 SH SOLE 0 0 1496 INNOVATOR ETFS TR S&P 500 ULTRA 45782C300 301 10073 SH SOLE 0 0 10073 INNOVATOR ETFS TR S&P 500 PWR BU 45782C540 258 8907 SH SOLE 0 0 8907 INNOVATOR ETFS TR S&P 500 PWRETF 45782C797 259 9305 SH SOLE 0 0 9305 INNOVATOR ETFS TR S&P 500 PWR 45782C813 215 7486 SH SOLE 0 0 7486 INNOVATOR ETFS TR S&P 500 BUFFER 45782C888 3932 132606 SH SOLE 0 0 132606 INTEL CORP COM 458140100 975 19573 SH SOLE 0 0 19573 INTERNATIONAL BUSINESS MACHS COM 459200101 379 3011 SH SOLE 0 0 3010 INVESCO ACTIVELY MANAGED ETF ULTRA SHRT DUR 46090A887 787 15555 SH SOLE 0 0 15554 INVESCO QQQ TR UNIT SER 1 46090E103 511 1629 SH SOLE 0 0 1628 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 2554 15675 SH SOLE 0 0 15675 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 728 5710 SH SOLE 0 0 5709 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 3436 61109 SH SOLE 0 0 61108 IRON MTN INC NEW COM 46284V101 204 6917 SH SOLE 0 0 6917 ISHARES TR S&P 100 ETF 464287101 749 4362 SH SOLE 0 0 4362 ISHARES TR MRNGSTR LG-CP GR 464287119 1040 3586 SH SOLE 0 0 3586 ISHARES TR CORE S&P TTL STK 464287150 410 4755 SH SOLE 0 0 4755 ISHARES TR SELECT DIVID ETF 464287168 1213 12616 SH SOLE 0 0 12616 ISHARES TR TIPS BD ETF 464287176 3406 26682 SH SOLE 0 0 26682 ISHARES TR CORE S&P500 ETF 464287200 4820 12839 SH SOLE 0 0 12838 ISHARES TR CORE US AGGBD ET 464287226 1365 11548 SH SOLE 0 0 11547 ISHARES TR MSCI EMG MKT ETF 464287234 2203 42644 SH SOLE 0 0 42644 ALTRIA GROUP INC COM 02209S103 948 23113 SH SOLE 0 0 23112 ISHARES TR S&P 500 GRWT ETF 464287309 3059 47930 SH SOLE 0 0 47929 ISHARES TR NORTH AMERN NAT 464287374 295 12652 SH SOLE 0 0 12652 ISHARES TR MSCI EAFE ETF 464287465 3324 45554 SH SOLE 0 0 45553 ISHARES TR RUS MDCP VAL ETF 464287473 6181 63744 SH SOLE 0 0 63744 AMAZON COM INC COM 023135106 2198 675 SH SOLE 0 0 675 ISHARES TR RUS MD CP GR ETF 464287481 4426 43120 SH SOLE 0 0 43120 ISHARES TR RUS MID CAP ETF 464287499 21041 306943 SH SOLE 0 0 306943 ISHARES TR CORE S&P MCP ETF 464287507 1268 5517 SH SOLE 0 0 5517 ISHARES TR RUS 1000 VAL ETF 464287598 6481 47399 SH SOLE 0 0 47399 ISHARES TR RUS 1000 GRW ETF 464287614 7775 32243 SH SOLE 0 0 32242 ISHARES TR RUS 1000 ETF 464287622 16462 77711 SH SOLE 0 0 77710 ISHARES TR RUS 2000 VAL ETF 464287630 3049 23142 SH SOLE 0 0 23142 ISHARES TR RUS 2000 GRW ETF 464287648 2713 9462 SH SOLE 0 0 9461 ISHARES TR RUSSELL 2000 ETF 464287655 7860 40090 SH SOLE 0 0 40090 ISHARES TR CORE S&P US GWT 464287671 747 8421 SH SOLE 0 0 8421 ISHARES TR RUSSELL 3000 ETF 464287689 870 3893 SH SOLE 0 0 3893 ISHARES TR U.S. TECH ETF 464287721 403 4736 SH SOLE 0 0 4736 ISHARES TR U.S. FINLS ETF 464287788 2597 38896 SH SOLE 0 0 38896 ISHARES TR CORE S&P SCP ETF 464287804 10529 114576 SH SOLE 0 0 114575 ISHARES TR MRGSTR MD CP ETF 464288208 224 957 SH SOLE 0 0 957 ISHARES TR JPMORGAN USD EMG 464288281 1841 15881 SH SOLE 0 0 15881 ISHARES TR NATIONAL MUN ETF 464288414 7288 62187 SH SOLE 0 0 62187 ISHARES TR IBOXX HI YD ETF 464288513 1331 15243 SH SOLE 0 0 15243 ISHARES TR PFD AND INCM SEC 464288687 1543 40062 SH SOLE 0 0 40062 ISHARES TR CORE MSCI TOTAL 46432F834 6013 89494 SH SOLE 0 0 89494 ISHARES TR CORE MSCI EAFE 46432F842 217 3145 SH SOLE 0 0 3145 ISHARES TR 0-5YR HI YL CP 46434V407 312 6864 SH SOLE 0 0 6863 ISHARES TR CORE DIV GRWTH 46434V621 13360 298092 SH SOLE 0 0 298091 ISHARES TR ESG AWR MSCI USA 46435G425 441 5130 SH SOLE 0 0 5130 JPMORGAN CHASE & CO COM 46625H100 2102 16544 SH SOLE 0 0 16544 J P MORGAN EXCHANGE-TRADED F US AGGREGATE 46641Q613 245 8789 SH SOLE 0 0 8788 JOHNSON & JOHNSON COM 478160104 2344 14894 SH SOLE 0 0 14893 AMERICAN EXPRESS CO COM 025816109 208 1724 SH SOLE 0 0 1724 LMP CAP & INCOME FD INC COM 50208A102 395 33872 SH SOLE 0 0 33872 LEGG MASON ETF INVT TR L VOL H DIV ETF 52468L406 8099 249729 SH SOLE 0 0 249728 LOCKHEED MARTIN CORP COM 539830109 1017 2866 SH SOLE 0 0 2865 M & T BK CORP COM 55261F104 320 2515 SH SOLE 0 0 2515 AMERISOURCEBERGEN CORP COM 03073E105 430 4399 SH SOLE 0 0 4398 MGM RESORTS INTERNATIONAL COM 552953101 956 30336 SH SOLE 0 0 30335 MARRIOTT INTL INC NEW CL A 571903202 916 6944 SH SOLE 0 0 6944 AMGEN INC COM 031162100 380 1654 SH SOLE 0 0 1654 MCDONALDS CORP COM 580135101 1126 5249 SH SOLE 0 0 5248 MERCK & CO. INC COM 58933Y105 1145 14003 SH SOLE 0 0 14002 MICROSOFT CORP COM 594918104 2847 12801 SH SOLE 0 0 12801 MONDELEZ INTL INC CL A 609207105 576 9856 SH SOLE 0 0 9856 NETFLIX INC COM 64110L106 226 418 SH SOLE 0 0 418 NEW YORK CMNTY BANCORP INC COM 649445103 694 65747 SH SOLE 0 0 65747 NEXTERA ENERGY INC COM 65339F101 550 7133 SH SOLE 0 0 7133 NORFOLK SOUTHN CORP COM 655844108 466 1959 SH SOLE 0 0 1959 NUVEEN VIRGINIA QLTY MUNCPL COM 67064R102 249 15654 SH SOLE 0 0 15654 NVIDIA CORPORATION COM 67066G104 428 820 SH SOLE 0 0 820 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 2265 175816 SH SOLE 0 0 175816 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 169 17797 SH SOLE 0 0 17797 OMNICOM GROUP INC COM 681919106 313 5018 SH SOLE 0 0 5018 ORACLE CORP COM 68389X105 869 13428 SH SOLE 0 0 13428 PACER FDS TR TRENDP 100 ETF 69374H303 389 7473 SH SOLE 0 0 7472 PAVMED INC COM 70387R106 215 101200 SH SOLE 0 0 101200 APPLE INC COM 037833100 10479 78975 SH SOLE 0 0 78974 PENN NATL GAMING INC COM 707569109 345 4000 SH SOLE 0 0 4000 PEPSICO INC COM 713448108 878 5923 SH SOLE 0 0 5923 PFIZER INC COM 717081103 813 22090 SH SOLE 0 0 22089 PHILIP MORRIS INTL INC COM 718172109 1096 13243 SH SOLE 0 0 13243 PIMCO CORPORATE & INCOME OPP COM 72201B101 2101 117678 SH SOLE 0 0 117678 PIMCO ETF TR ACTIVE BD ETF 72201R775 346 3059 SH SOLE 0 0 3058 PRINCIPAL EXCHANGE-TRADED FD SPECTRUM PFD 74255Y888 548 26488 SH SOLE 0 0 26487 PROCTER AND GAMBLE CO COM 742718109 857 6160 SH SOLE 0 0 6160 PROSPECT CAP CORP COM 74348T102 1131 209079 SH SOLE 0 0 209078 APPLIED MATLS INC COM 038222105 709 8220 SH SOLE 0 0 8219 QUALCOMM INC COM 747525103 784 5145 SH SOLE 0 0 5145 RAYTHEON TECHNOLOGIES CORP COM 75513E101 942 13167 SH SOLE 0 0 13167 REGENERON PHARMACEUTICALS COM 75886F107 303 627 SH SOLE 0 0 627 REPLIGEN CORP COM 759916109 2867 67866 SH SOLE 0 0 67866 ROPER TECHNOLOGIES INC COM 776696106 240 556 SH SOLE 0 0 556 AT&T INC COM 00206R102 1584 55083 SH SOLE 0 0 55082 SPDR S&P 500 ETF TR TR UNIT 78462F103 1303 3484 SH SOLE 0 0 3483 SPDR GOLD TR GOLD SHS 78463V107 6012 33708 SH SOLE 0 0 33708 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 3723 83732 SH SOLE 0 0 83731 SPDR SER TR WELLS FG PFD ETF 78464A292 1369 30824 SH SOLE 0 0 30824 SPDR SER TR BLMBRG BRC CNVRT 78464A359 11873 143414 SH SOLE 0 0 143414 SPDR SER TR PORTFOLI S&P1500 78464A805 2843 61687 SH SOLE 0 0 61686 ARES CAPITAL CORP COM 04010L103 240 14213 SH SOLE 0 0 14212 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1543 3675 SH SOLE 0 0 3675 SPDR SER TR NUVEEN BLMBRG SR 78468R739 4818 96769 SH SOLE 0 0 96769 SPDR SER TR RUSSELL YIELD 78468R770 1791 23832 SH SOLE 0 0 23832 SPDR SER TR PRTFLO S&P500 HI 78468R788 2014 61149 SH SOLE 0 0 61149 SALESFORCE COM INC COM 79466L302 481 2161 SH SOLE 0 0 2161 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 16896 131577 SH SOLE 0 0 131576 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 9328 156688 SH SOLE 0 0 156687 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 237 4221 SH SOLE 0 0 4221 SCHWAB STRATEGIC TR US TIPS ETF 808524870 1326 21366 SH SOLE 0 0 21366 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 3387 50211 SH SOLE 0 0 50210 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1147 8825 SH SOLE 0 0 8825 SIRIUS XM HOLDINGS INC COM 82968B103 161 25253 SH SOLE 0 0 25253 STARBUCKS CORP COM 855244109 544 5085 SH SOLE 0 0 5085 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 183 12323 SH SOLE 0 0 12323 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 859 29860 SH SOLE 0 0 29860 TARGET CORP COM 87612E106 204 1157 SH SOLE 0 0 1156