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Nicole A Treiber

Investment Adviser Representative at XML FINANCIAL GROUP

BETHESDA, MDCRD #6324545Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
9 yrs
States Registered
22 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 22 states
ArizonaCaliforniaColoradoConnecticutDistrict of ColumbiaFloridaGeorgiaIndianaMarylandMassachusettsMichiganMissouriNew JerseyNew YorkNorth CarolinaOhioOregonPennsylvaniaTexasVermontVirginiaWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/21/2019
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/29/2017

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $3,000,0001.00%
Next $1,000,0000.90%
Next $1,000,0000.80%
Next $1,000,0000.70%
Next $1,000,0000.60%
Next $1,000,0000.50%
Next $1,000,0000.40%
Next $1,000,0000.30%
Next $1,000,0000.20%
Next $1,000,0000.20%
Next $1,000,0000.20%
Next $1,000,0000.20%
Next $1,000,0000.20%
Next $5,000,0000.20%
Above $20,000,0000.10%
Source

XML FINANCIAL GROUP Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

XML SECURITIESCurrent
6/29/2017Bethesda, MD

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicole A Treiber has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.