AdFi
RD

Robert David Kantor

Investment Adviser Representative at XML FINANCIAL GROUP

Bethany Beach, DECRD #2117737Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
35 yrs
States Registered
30 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 30 states
AlabamaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaIndianaMarylandMassachusettsMichiganMissouriMontanaNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaPennsylvaniaSouth DakotaTexasVermontVirgin IslandsVirginiaWashingtonWest VirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/8/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 2/15/1991
Series 24
General Securities Principal Examination
Passed 1/14/2005
Series 99TO
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/17/1991

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
1/2/2019Naples, FL
PURSHE KAPLAN STERLING INVESTMENTS
10/3/201612/31/2018Rockville, MD
LPL FINANCIAL LLC
10/22/200410/13/2016ROCKVILLE, MD
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
1/21/199110/27/2004NEW YORK, NY

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. Robert David Kantor 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.

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