RK
Robert D. Kantor
XML FINANCIAL GROUP
Naples, FL
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CRD#: 2117737
RK
Professional summary
Robert David Kantor, who also goes by Bob Kantor, Rob Kantor, is a registered financial advisor currently at XML FINANCIAL GROUP located in Naples, Florida and XML SECURITIES located in Naples, Florida.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Kantor | Rob Kantor
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.
(1) 02/2004: Insurance agent, no business name, located at reported business location, 1Hr/month/trading. (2) 09/2016: BR Financial Associates, LLC, at XML Financial Group headquarters, entity for tax purposes for management fee and earn out income related to BR Financial Associates Management Company, LLC, 1Hr/month/trading, (3) 09/2016: BR Financial Associates Management Company, LLC, managing partner, at XML Financial Group headquarters, management company for XML Financial, LLC and XML Securities, LLC - 80Hr/month/trading, Principal. (4) 03/2023: Devonshire, 2760 Devonshire Place, NW, Washington, DC 20008. Appointed by executor as corporate officer, nature of business is real estate. Asked to appointing officers when needed and reviewing non-recurring significant transactions such as loan refinancing for building sale,1Hr/month/trading. (5) 1/2011: 5Hole, LLC ,(10/2016) BKV II, LLC, BKV, LLC -holding companies for personal, passive private placement investments, from residence, Member, 1Hr/month/trading (6) 10/2022: RT INVESTORS PARTNERS I, LLC , and 6/2023 INVESTORS OF GULF SHORE, LLC partner, holding company for personal passive private placement investments, from residence, 1Hr/month/trading. (7) 6/2014: Sea Villas HOA, volunteer Treasurer - receivables/payables, budget, HOA Rules, from residence, 1Hr/month/trading. (8) 3/2023: Vanderbilt Beach Comber, volunteer Treasurer - oversee budgeting, management company, accounting company, no access to pay bills/expenses, from residence, 1Hr/month/trading.
CRS (Client Relationship Summary) - RIA
Click below to view Robert David Kantor's 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®
NoneExperience
Current
October 1, 2016 - Present
XML FINANCIAL GROUP
Office #3: 6901 Rockledge Drive Suite 730, Bethesda, MD 20817RIA
CRD#: 284987
Naples, FL
Current
January 2, 2019 - Present
XML SECURITIES
BD
CRD#: 145589
Naples, FL
Past
October 3, 2016 - December 31, 2018
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Rockville, MD
Past
October 22, 2004 - October 13, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROCKVILLE, MD
Past
October 22, 2004 - October 13, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
ROCKVILLE, MD
Past
March 11, 1992 - October 27, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ROCKVILLE, MD
Past
January 21, 1991 - October 27, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
XF
XML FINANCIAL GROUP
COLLINS INVESTMENT GROUP | XML FINANCIAL, LLC | XML FINANCIAL GROUP | SAMSON WEALTH MANAGEMENT GROUP | OREN ADVISORS, LLC | LARA MAY ADVISORS
CRD#: 284987 / SEC#: 801-108376
RIA
Registered Investment Advisory firm - (9/12/2016 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(1/2/2019)
RR
Arkansas(9/27/2023)
RR
California(8/26/2021)
RR
Colorado(8/26/2021)
RR
Connecticut(8/26/2021)
RR
Delaware(7/29/2020)
IAR
Delaware(5/3/2022)
RR
District of Columbia(1/2/2019)
RR
Florida(1/2/2019)
IAR
Florida(4/13/2022)
RR
Georgia(8/26/2021)
RR
Indiana(8/26/2021)
IAR
Maryland(10/1/2016)
RR
Maryland(1/2/2019)
RR
Massachusetts(8/26/2021)
RR
Michigan(8/26/2021)
RR
Missouri(1/2/2019)
RR
Montana(8/26/2021)
RR
New Jersey(1/2/2019)
RR
New Mexico(8/17/2021)
RR
New York(1/2/2019)
RR
North Carolina(1/2/2019)
RR
Ohio(7/29/2020)
RR
Oklahoma(8/26/2021)
RR
Pennsylvania(1/2/2019)
RR
South Dakota(8/20/2021)
RR
Texas(8/26/2021)
RR
Vermont(8/24/2021)
RR
Virgin Islands(9/2/2021)
IAR
Virginia(10/13/2016)
RR
Virginia(1/2/2019)
RR
Washington(8/26/2021)
RR
West Virginia(1/2/2019)
RR
Wisconsin(1/2/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
XF
XML FINANCIAL GROUP
COLLINS INVESTMENT GROUP | XML FINANCIAL, LLC | XML FINANCIAL GROUP | SAMSON WEALTH MANAGEMENT GROUP | OREN ADVISORS, LLC | LARA MAY ADVISORS
CRD#: 284987 / SEC#: 801-108376
RIA
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Contact information
Main Address
6901 Rockledge Drive Suite 730, Bethesda, MD 20817
Mailing Address
Phone number
(301) 770-5234
Established
Firm type
Fiscal year end
# of Employees
53
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,044 |
| AUM (Assets Under Management) | $ 2,993,236,597 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/19/2024 | ||
| 07/19/2023 | ||
| 11/21/2022 |
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.
