Jennifer Szaro, CRCP^®

Chief Compliance Officer

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Jennifer Szaro brings over 20 years of senior-level industry experience and regulatory expertise to XML and the small firm community. She serves as the Chief Compliance Officer and a managing equity partner of XML Securities, an introducing retail broker-dealer, and its affiliated SEC-registered investment adviser, XML Financial Group.

Since 2000, Ms. Szaro has embraced a variety of roles to drive the growth of her firm, including marketing, sales/trading, human resources, operations, corporate administration, and compliance. Through the past two decades, she helped lead the expansion from six employees to over 50, navigating through strategic mergers, Continuing Membership Applications, onboarding new teams, and numerous SEC and FINRA regulatory examinations.

Ms. Szaro actively contributes to the firm’s Executive, Leadership, and Operations Committees. She chairs XML’s forward-thinking Serve Our Seniors Committee, which addresses the complex needs of senior investors. She holds Series 7, 24, 28, 53, 63, 65, and 99 licenses and pursued advanced training through FINRA’s Certified Regulatory and Compliance Professional (CRCP) Program at Wharton. Ms. Szaro earned her Bachelor of Science from the University of Rhode Island.

In 2019, Ms. Szaro joined FINRA’s Small Firm Advisory Committee (SFAC), where she was a proactive contributor, serving as Chair in 2020 and enhancing her advocacy for the myriad of small firm business models and their clients through the end of her second term in 2023. In September of 2024, she was elected to serve on FINRA’s Board of Governors, as an industry Governor elected by FINRA’s membership of small firm broker-dealers, firms with 1 – 150 registered representatives.

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