John E. Wightman

XML FINANCIAL GROUP

Bethany Beach, DE

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CRD#: 2769487

Professional summary

John Eric Wightman, who also goes by Eric Wightman, J. Eric Wightman, is a registered financial advisor currently at XML FINANCIAL GROUP located in Bethany Beach, Delaware and XML SECURITIES located in Bethesda, Maryland.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 7 firms and has passed the Series 63, Series 65, Series 31, Series 7, Series 6, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Wightman | J. Eric Wightman

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) - RIA

Click below to view John Eric Wightman'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

July 21, 2017 - Present

XML FINANCIAL GROUP

RIA

CRD#: 284987

Bethany Beach, DE

Current

June 22, 2022 - Present

XML SECURITIES

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

CRD#: 145589

Bethesda, MD

Past

February 21, 2017 - March 10, 2017

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

WASHINGTON, DC

Past

February 21, 2017 - March 10, 2017

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

WASHINGTON, DC

Past

July 20, 2007 - January 14, 2017

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

RESTON, VA

Past

July 20, 2007 - January 14, 2017

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

RESTON, VA

Past

October 5, 2005 - August 2, 2007

FERRIS, BAKER WATTS, LLC

RIA

CRD#: 285

RESTON, VA

Past

June 16, 2000 - August 2, 2007

FERRIS, BAKER WATTS, LLC

CRD#: 285

RESTON, VA

Past

July 13, 1998 - July 3, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 12, 1996 - July 16, 1998

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

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".

XML FINANCIAL GROUP

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.

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

IAR

Delaware
(5/15/2023)

Delaware
(7/26/2023)

Florida
(10/8/2025)

IAR

Maryland
(7/21/2017)

Maryland
(7/28/2023)

IAR

Virginia
(7/21/2017)

Virginia
(8/4/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/3/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/4/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 31

Date: 11/23/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/5/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/9/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 3/27/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/15/2001

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

XML FINANCIAL GROUP

CRD#: 284987 / SEC#: 801-108376

RIA

Registered Investment Advisory firm - (9/12/2016 Approved)

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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

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP-FEE PROGRAM BROCHURE FOR XML FINANCIAL, LLC (3/28/2025)

ADV 2A BROCHURE FOR XML FINANCIAL, LLC (3/28/2025)

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	Cover Page	Report
07/19/2023	Cover Page	Report
11/21/2022	Cover Page	Report

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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Firm Stability Insights

John E. Wightman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Eric Wightman's CRS (Customer Relationship Summary).

Certified licenses

Experience

XML SECURITIES

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

PRUDENTIAL EQUITY GROUP, LLC

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

XML FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 8/3/2022

Series 65

Date: 10/4/2005

Series 31

Date: 11/23/1999

Series 7

Date: 5/5/1998

Series 6

Date: 8/9/1996

Series 9

Date: 3/27/2001

Series 10

Date: 1/15/2001

FINRA

Current Firm

XML FINANCIAL GROUP

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

XML FINANCIAL GROUP

TRUST BUT VERIFY

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