Jennifer Szaro

Jennifer Szaro, CRCP® is the Chief Compliance Officer for XML Securities, a FINRA small firm, retail broker-dealer, and its affiliated investment adviser, XML Financial Group. Jennifer serves on the XML Executive, Leadership and Operations Committees. A focus of hers has been to address the risk of fraud against firms and clients and the complex needs of serving senior investors. She initiated her firm’s AARP BankSafe training adoption and initiated XML to become the first investment adviser in the U.S. to offer the financial literacy app, ZOGO, and leads the firm’s Serving Seniors Committee. She started working in the financial services industry over 20 years ago. She actively contributes in industry events and engages with fellow firms, industry professionals and regulators. She has been a frequent speaker at FINRA and NSCP events. She has been invited to participate in industry roundtables regarding various issues. In 2012, Jennifer completed the FINRA Certified Regulatory and Compliance Professional (CRCP) Program. At the time, the program was delivered through the Wharton School at the University of Pennsylvania. In 2018, Jennifer became a non-public FINRA Dispute Resolution Arbitrator, having qualified through the National Arbitration and Mediation Committee. From 2019 through 2023, she represented small firm broker-dealers on FINRA’s Small Firm Advisory Committee (SFAC). She served as chair in 2020. She has been invited to participate and contribute in other FINRA related sub-committees and projects.