Beth J. Levine
Professional summary
Beth J Levine, who also goes by Beth Jami Kaplan, Beth Jami Swanson, is a registered financial advisor currently at XML FINANCIAL GROUP located in Rockville, Maryland and XML SECURITIES located in Bethesda, Maryland.
Beth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Beth has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Beth J Levine's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2019 - Present
XML FINANCIAL GROUP
March 27, 2009 - Present
XML SECURITIES
Office #1: 6901 Rockledge Drive Suite 730, Bethesda, MD 20817March 27, 2009 - February 1, 2019
XML SECURITIES
January 1, 2000 - April 15, 2009
CITIGROUP GLOBAL MARKETS INC.
May 25, 1995 - April 15, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
XML FINANCIAL GROUP
CRD#: 284987 / SEC#: 801-108376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/27/2009)
(4/20/2023)
(10/21/2010)
(3/27/2009)
(2/1/2019)
(3/27/2009)
(7/22/2009)
(12/21/2015)
(3/27/2009)
(2/1/2019)
Exams
FINRA
Current Firm
XML FINANCIAL GROUP
CRD#: 284987 / SEC#: 801-108376
Contact information
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
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