Douglas F. Callan

XML FINANCIAL GROUP

Fort Washington, PA 19034

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CRD#: 5188893

Professional summary

Douglas Francis Callan, who also goes by Douglas Francis Callan, is a registered financial advisor currently at XML FINANCIAL GROUP located in Fort Washington, Pennsylvania and XML SECURITIES located in Fort Washington, Pennsylvania.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Douglas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas Francis Callan

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 Douglas Francis Callan'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 1, 2022 - Present

XML FINANCIAL GROUP

Office #1: 500 Office Center Drive, Suite 103,, Fort Washington, PA 19034

RIA

CRD#: 284987

Fort Washington, PA

Current

July 1, 2022 - Present

XML SECURITIES

Office #1: 500 Office Center Drive, Suite 103,, Fort Washington, PA 19034

CRD#: 145589

Fort Washington, PA

Past

July 3, 2014 - July 11, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

FORT WASHINGTON, PA

Past

July 2, 2014 - July 11, 2022

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

FORT WASHINGTON, PA

Past

October 21, 2008 - June 30, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

November 30, 2006 - June 30, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Florida
(5/12/2023)

Maryland
(5/12/2023)

Massachusetts
(5/12/2023)

IAR

New Jersey
(7/6/2022)

New Jersey
(5/12/2023)

North Carolina
(5/12/2023)

Pennsylvania
(7/1/2022)

IAR

Pennsylvania
(7/1/2022)

Virginia
(5/12/2023)

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 66

Date: 10/20/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/23/2006

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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Advisor Monitoring

Firm Stability Insights

Douglas F. Callan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Francis Callan's CRS (Customer Relationship Summary).

Certified licenses

Experience

XML SECURITIES

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

XML FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2008

SIE

Date: 10/1/2018

Series 7

Date: 9/23/2006

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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