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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

DAVID B MARGULIES

Advisor at XML FINANCIAL GROUP

St. Petersburg, FL | BETHESDA, MD

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Search this name across graphsid dfx:ria:c1bf229d-8a52-4073-e5ec-d94a42ede1f1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 18, 1999 to Sep 14, 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: Apr 13, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Apr 13, 1987
First registration: Oct 18, 1999
Dual registered: yes, broker-dealer
Other names: DAVID B MARGUILES
IAPD individual key: 1629190

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 5, 2019	n/a	yes	St. Petersburg, FL\|BETHESDA, MD	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Nov 3, 2017	no	WASHINGTON, DC	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 15, 2008	Jun 1, 2009	no	WASHINGTON, DC	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Aug 26, 2008	no	WASHINGTON, DC	Previous registration
MORGAN STANLEY DW INC.	n/a	Oct 18, 1999	Apr 2, 2007	no	WASHINGTON, DC\|WASHINGTON, DC	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
MORGAN STANLEY	XML FINANCIAL GROUP	Nov 3, 2017	Feb 5, 2019	459	Firm change after gap	Wirehouse to RIA
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY & CO. LLC	CITIGROUP GLOBAL MARKETS INC.	Aug 26, 2008	Sep 15, 2008	20	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ XML FINANCIAL GROUPRegistered adviserregistration: current employment
Feb 5, 2019 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Nov 3, 2017factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 15, 2008 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Aug 26, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Oct 18, 1999 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.