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’s served as a panelist at conferences and represents input for small firm broker-dealers on FINRA’s Small Firm Advisory Committee (SFAC), which she served as chair in 2020. She was reappointed to serve a full term on the SFAC through 2023.

Education & Industry Participation

Jennifer has a passion for industry knowledge and continuing education. In 2012, she completed the Certified Regulatory and Compliance Professional (CRCP) Program through FINRA. 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. She currently holds the following FINRA registrations; Compliance Officer (CR), Introducing Broker-Dealer Financial and Operations Principal (FI), General Securities Principal (GP), General Securities Representative (GS), Investment Company and Variable Contracts Products Representative (IR), Municipal Securities Principal (MP), Municipal Securities Representative (MR), and Operations Professional (OS). FINRA’s BrokerCheck.