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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

STEVEN FARNHAM COLLINS

Advisor at XML FINANCIAL GROUP

Owings Mill, MD | BETHESDA, MD

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Search this name across graphsid dfx:ria:1ab5abba-9243-0429-9242-628f002cb63a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 21, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: XML FINANCIAL GROUP
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 21, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Exams: S65|S63|S66
First exam: Oct 19, 2006
First registration: Aug 21, 2001
Dual registered: yes, broker-dealer
Other names: STEVEN COLLINS|Steve Collins
IAPD individual key: 2367431

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
XML FINANCIAL GROUP	Independent wealth	Feb 1, 2019	n/a	yes	BETHESDA, MD\|Owings Mill, MD	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 22, 2016	May 16, 2016	no	BETHESDA, MD	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Oct 6, 2009	Jan 27, 2016	no	MCLEAN, VA\|MCLEAN, VA	Previous registration
FISHER INVESTMENTS	Independent wealth	Aug 21, 2001	Feb 10, 2006	no	MCLEAN, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	XML FINANCIAL GROUP	May 16, 2016	Feb 1, 2019	991	Firm change after gap	Wirehouse to RIA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	WELLS FARGO ADVISORS	Jan 27, 2016	Jan 22, 2016	-5	Firm change	Other
FISHER INVESTMENTS	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Feb 10, 2006	Oct 6, 2009	1,334	Firm change after gap	Other

Relationships

Registered with (4)

→ XML FINANCIAL GROUPRegistered adviserregistration: current employment
Feb 1, 2019 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 22, 2016 to May 16, 2016factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Oct 6, 2009 to Jan 27, 2016factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Aug 21, 2001 to Feb 10, 2006factForm ADV

Dated events

No dated event names this entity yet.