Kevin P. Peters

XML FINANCIAL GROUP

Kensington, MD

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CRD#: 4173093

Professional summary

Kevin P Peters, CLU®, who also goes by Kevin P Peters Mr., is a registered financial advisor currently at XML FINANCIAL GROUP located in Kensington, Maryland and XML SECURITIES located in Bethesda, Maryland.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kevin has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin P Peters Mr.

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.

Lifestyle Life * Insurance Agency * Not investment related - 6901 Rockledge Drive, Bethesda, MD 20817 - Owner & President - start 11/20/04 - 100 hrs per month; 5 hrs per day during securities trading hours - LI, DI & LTC insurance sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin P Peters'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®

CLU^®

Chartered Life Underwriter

Experience

Current

October 1, 2016 - Present

XML FINANCIAL GROUP

Office #2: 6901 Rockledge Drive Suite 730, Bethesda, MD 20817

RIA

CRD#: 284987

Kensington, MD

Current

February 26, 2019 - Present

XML SECURITIES

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

CRD#: 145589

Bethesda, MD

Past

August 14, 2006 - October 13, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROCKVILLE, MD

Past

November 4, 2004 - October 13, 2016

LPL FINANCIAL LLC

CRD#: 6413

ROCKVILLE, MD

Past

May 20, 2003 - November 4, 2004

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

August 16, 2001 - April 11, 2003

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

VICTOR, NY

Past

June 27, 2001 - September 4, 2001

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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

Maryland
(10/1/2016)

Maryland
(4/8/2019)

IAR

Texas
(7/2/2020)

IAR

Virginia
(7/6/2020)

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

IAR

Series 65

Date: 8/11/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/25/2001

General Securities Representative 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

Kevin P. Peters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin P Peters's CRS (Customer Relationship Summary).

Certified licenses

Experience

XML SECURITIES

LPL FINANCIAL LLC

LPL FINANCIAL LLC

USALLIANZ SECURITIES, INC.

WALL STREET FINANCIAL GROUP, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

XML FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/2006

Series 63

Date: 9/10/2001

SIE

Date: 10/13/2016

Series 7

Date: 6/25/2001

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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