Florence K. Bird

XML SECURITIES

Bethesda, MD 20817

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CRD#: 1585118

Professional summary

Florence Klinger Bird, who also goes by Flo Casertano Bird, Flo Klinger Bird, Florence Casertano Bird, Flo Casertano, Florence Klinger Casertano, Florance Kimberly Klinger, Florence Kimberly Klinger, is a registered financial professional currently at XML SECURITIES located in Bethesda, Maryland.

Florence is registered as a RR (Registered Representative) and started their career in finance in 1993. Florence has worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Florence Klinger Bird's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 1, 2021 - Present

XML SECURITIES

Office #1: 6901 Rockledge Drive Suite 730, Bethesda, MD 20817

CRD#: 145589

Bethesda, MD

Past

February 6, 2017 - August 31, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

BETHESDA, MD

Past

January 6, 2012 - February 1, 2017

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

CRD#: 319

WASHINGTON, DC

Past

October 11, 2011 - January 4, 2012

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

ROCKVILLE, MD

Past

October 3, 2011 - January 4, 2012

CRD#: 8174

WEEHAWKEN, NJ

Past

April 1, 1997 - October 6, 1997

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

March 11, 1996 - April 25, 1997

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

September 8, 1993 - December 31, 1994

JOHNSTON, LEMON & CO. INCORPORATED

CRD#: 473

WASHINGTON, DC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Maryland
(9/1/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/10/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/23/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/7/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

XML SECURITIES

CRD#: 145589 / SEC#: 801-68535, 8-67776

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

6901 Rockledge Drive Suite 120 East, Falls Church, VA 22043

Mailing Address

6901 Rockledge Drive Suite 730, Bethesda, MD 20817

Phone number

(703) 827-2300

Established

Delaware since 09/26/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LARA MAY & ASSOCIATES 2A BROCHURE (3/29/2019)

Direct owners and executive officers

Name	Position	CRD#
FOCUS OPERATING, LLC	100 % OWNER
BERNSTEIN, BRETT SHANE	CHAIRMAN	3103034
CONGDON, CURTIS JEFFREY	PRESIDENT	4890245
KANTARSKI, ALEXANDRA	MEMBER	5153780
KANTOR, ROBERT DAVID	CHIEF EXECUTIVE OFFICER	2117737
SAMSON, MARK DALE	PRINCIPAL	1852092
SZARO, JENNIFER LARA	CHIEF COMPLIANCE OFFICER	4395464

Disclosures

Regulatory Event	6
Arbitration	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Florence K. Bird

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Florence Klinger Bird's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

UBS FINANCIAL SERVICES INC.

FIRST UNION CAPITAL MARKETS CORP.

FERRIS, BAKER WATTS, LLC

JOHNSTON, LEMON & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2006

Series 63

Date: 9/23/1993

SIE

Date: 10/1/2018

Series 7

Date: 9/7/1993

FINRA

Current Firm

XML SECURITIES

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

XML SECURITIES

TRUST BUT VERIFY

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