Jennifer Szaro, CRCP^®

Chief Compliance Officer

LET's TALK

Jennifer Szaro is the Chief Compliance Officer for XML Financial Group and the affiliated broker-dealer, XML Securities, LLC. She manages the firms’ compliance with applicable state and industry regulations, such as those under the SEC and FINRA. Jennifer also serves on the XML Leadership and Operations Committees. Having been in the industry for over 20 years, Jennifer is active in the financial services industry. She has represented small firm broker-dealers on FINRA’s Small Firm Advisory Committee (SFAC) since 2019, which she served as chair in 2020. She was reappointed to serve a full term on the SFAC through 2023. Since 2020, it became a mission of hers to focus on serving the complex needs of senior investors and promulgate arming firms and investors with the knowledge to avoid scams and fraud. She’s served as a panelist at FINRA and NCSP conferences regarding cybersecurity and senior investor issues.  She participates in industry roundtables on senior investor issues, initiated the firm’s AARP BankSafe training adoption, engaged ZOGO, a financial literacy app, to be the first investment advisory firm in the U.S. to offer the app, and oversees the firm’s employee training and senior investors’ issues. Watch one of her webinars about Cybersecurity and Fraud Protection available on our Resources page.

Education & Industry Participation

Jennifer has a passion for industry knowledge and continuing education. In 2012, she completed the FINRA’s Certified Regulatory and Compliance Professional (CRCP) Program. At the time, the program was delivered through the Wharton School at the University of Pennsylvania. It provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. In 2018, Jennifer became a non-public FINRA Dispute Resolution Arbitrator, having qualified through the National Arbitration and Mediation Committee.

Her Top 3 Tips

1. Watch “Money Explained” Episode 1 on Netflix.
2. Explore all that FTC Consumer Advice offers you.
3. Sign up for AARP, they are on top of helping members ward off fraud and scams.

FINRA’s BrokerCheck.