Curtis J. Congdon
XML FINANCIAL GROUP
Fairfax, VA 22030
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CRD#: 4890245
Professional summary
Curtis Jeffrey Congdon, CFP®, who also goes by Curtis Congdon, is a registered financial advisor currently at XML FINANCIAL GROUP located in Fairfax, Virginia and XML SECURITIES located in Fairfax, Virginia.
Curtis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Curtis has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Curtis Congdon
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) (2/2019) BR Financial Associates Management Company, LLC, equity member, located at XML headquarters, management company for XML Financial Group and XML Securities, 40hrs/month/trading. (2) (8/2005) Insurance producer agent, via employer, XML Securities headquarters, 1Hr/month/trading. (3) (8/2019) CC Management, sole proprietor, entity for tax purposes for management fees of BR Financial Associates Management Company, LLC, 0 Hr/month/trading.
CRS (Client Relationship Summary) - RIA
Click below to view Curtis Jeffrey Congdon'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®
CFP®
Start date: 2011
Experience
Current
February 1, 2019 - Present
XML FINANCIAL GROUP
Office #1: 10306 Eaton Place Suite 230, Fairfax, VA 22030RIA
CRD#: 284987
Fairfax, VA
Current
February 9, 2009 - Present
XML SECURITIES
Office #1: 10306 Eaton Place Suite 230, Fairfax, VA 22030BD
CRD#: 145589
Fairfax, VA
Past
February 9, 2009 - February 1, 2019
XML SECURITIES
RIA
CRD#: 145589
FALLS CHURCH, VA
Past
July 6, 2005 - February 13, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CENTREVILLE, VA
Past
June 23, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 23, 2005 - February 13, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CENTREVILLE, VA
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(1/25/2023)
RR
Arizona(3/26/2019)
RR
California(9/24/2014)
RR
Colorado(4/22/2010)
IAR
Colorado(1/3/2022)
RR
Connecticut(3/27/2019)
RR
Delaware(8/23/2022)
RR
District of Columbia(2/9/2009)
RR
Florida(9/2/2014)
RR
Georgia(5/25/2022)
RR
Hawaii(5/21/2015)
RR
Idaho(3/26/2019)
RR
Illinois(4/2/2019)
RR
Indiana(11/9/2021)
RR
Kentucky(1/5/2016)
RR
Maine(9/20/2019)
RR
Maryland(2/9/2009)
RR
Massachusetts(2/9/2009)
RR
Michigan(3/13/2015)
RR
Minnesota(8/26/2024)
RR
Mississippi(2/22/2022)
RR
Missouri(1/5/2023)
RR
Nevada(4/20/2020)
RR
New Jersey(4/22/2015)
RR
New York(3/30/2011)
RR
North Carolina(7/30/2012)
RR
Ohio(3/6/2015)
RR
Oklahoma(7/31/2023)
RR
Pennsylvania(6/15/2010)
RR
Rhode Island(5/25/2021)
RR
South Carolina(4/2/2014)
RR
Tennessee(1/4/2022)
RR
Texas(3/9/2015)
IAR
Texas(1/3/2022)
RR
Utah(8/21/2019)
RR
Virginia(2/9/2009)
IAR
Virginia(2/1/2019)
RR
Washington(3/9/2015)
RR
West Virginia(2/21/2024)
RR
Wisconsin(4/1/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
