Unclaimed Profile

Brett Shane Bernstein

XML FINANCIAL, LLC·BETHESDA, Maryland

SIE, Series 7, Series 66CFP27 years registeredXML FINANCIAL, LLC

6901 ROCKLEDGE DRIVE, BETHESDA, MD 20817CRD# 3103034Firm CRD# 284987

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Brett Shane Bernstein · BETHESDA, MD

Registration

CRD #3103034 · XML FINANCIAL, LLC · 27 years registered

Brand Profile

Not yet started

Career History

XML SECURITIES

Jan 2019 – present

XML FINANCIAL GROUP

Oct 2016 – present

LPL FINANCIAL LLC

Oct 2004 – Oct 2016

ROCKVILLE, MD

MERRILL LYNCH PIERCE FENNER & SMITH INC.

Nov 1998 – Oct 2004

ROCKVILLE, MD

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · November 20, 1998

Years registered · 27

Professional designation · CFP

Disclosure History

2003Customer Dispute·Closed-No Action

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

XML FINANCIAL, LLC

CRD 284987 · SEC 801-108376

AUM

$2.8B

Regulatory assets under management

Employees

5,960 client accounts

Services offered by XML FINANCIAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at XML FINANCIAL, LLC →

Introduction

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Frequently Asked Questions

What services does Brett Shane Bernstein offer?

Brett Shane Bernstein specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in BETHESDA, Maryland for a consultation.

What are Brett Shane Bernstein's credentials?

Brett Shane Bernstein holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Brett Shane Bernstein located?

Brett Shane Bernstein is based in BETHESDA, Maryland, working with XML FINANCIAL, LLC. Their office serves clients in the BETHESDA metropolitan area and surrounding communities.

How does Brett Shane Bernstein charge for services?

Brett Shane Bernstein's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is XML FINANCIAL, LLC?

XML FINANCIAL, LLC has approximately 52 employees and manages $2.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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