CRD #145589 · FINRA BrokerCheck + SEC IAPD

XML Securities

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, XML Securities ranks #1,105 of 20,055 by disclosure count (most disclosures first). Among firms registered in MD, it ranks #3 of 24 on the same disclosure sort used on the state browse page. XML Securities carries 7 BrokerCheck disclosures across 9 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
9
branch offices
7
disclosures
#1,105 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 145589 XML Securities

XML Securities · Grade B · 7 disc · 0.78/office · Small firm

  • CRD 145589
  • GRADE B
  • DISC 7
  • REG 6
  • ARB 1
  • CIV 0
  • BRANCH 9
  • PER-OFF 0.78
  • RANK #1,105 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: M&T Securities, Inc. (0.78 disc/office)

M&T Securities, Inc.0.78Belle Haven Investments…0.80Earlybirdcapital, Inc.0.80XML Securities (this)0.78
Disclosures per office among small firm peers (lower is cleaner)

XML Securities ranks #1,105 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.78 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

9 offices

FINRA: Small firm

Total disclosures

7 events

On FINRA BrokerCheck

Regulatory events

6 actions

86% of all disclosures

Disclosures per office

0.78 per office

7 ÷ 9 offices

XML Securities vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 37% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). This entry sits in this band. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 6
Arbitrations 1
Civil Events 0
Total 7

Counts for XML Securities reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 6 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Bethesda, MD, 20817
Formed
09/26/2007
State of Formation
Delaware
CRD Number
145589
SEC Number
67776

Regulator-heavy mix

XML Securities in the heavier-disclosure third

XML Securities carries 7 BrokerCheck disclosures across 9 branch offices - a heavier-third raw book among graded firms (#1,105 of 20,055). Regulator-initiated events are 86% of the book (6 regulatory / 1 arbitration / 0 civil).

86% of XML Securities's 7 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of XML Securities's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Maryland cohort · 4.42× state average

XML Securities sits above the Maryland disclosure average

XML Securities reports 7 BrokerCheck disclosures, 4.42× the Maryland average of 1.6 across 24 graded firms with a principal-office state on file.

In Maryland, 16 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Maryland state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does XML Securities sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, XML Securities ranks #1,105 of 20,055 by disclosure count (most disclosures first). Among firms registered in MD, it ranks #3 of 24 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for XML Securities?
A grade of B reflects XML Securities's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 7 total disclosures across 9 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does XML Securities have?
XML Securities has 7 total FINRA disclosures, including 6 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is XML Securities?
XML Securities operates 9 branch offices and is classified by FINRA as a small firm, registered in MD (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify XML Securities's disciplinary record?
You can verify XML Securities's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 145589. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). XML Securities's 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid XML Securities because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. XML Securities carries 7 disclosures across 9 branch offices (about 0.78 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for XML Securities, both outside MD so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.