Jennifer Szaro, CRCP, CRCP
CCO
XML Securities
Professional Bio
Jennifer Szaro, CRCP®, serves as the Chief Compliance Officer for XML Financial Group, a federally registered investment adviser, and its affiliated introducing broker-dealer, XML Securities, member FINRA/SIPC. She is also an equity owner of the management company for both entities and serves on their Executive, Leadership, and Operations Committees.
Jennifer’s areas of focus include mitigating fraud risks impacting firms and clients, as well as addressing the complex regulatory and interpersonal considerations involved in serving senior investors. She spearheaded the firms’ adoption of AARP’s BankSafe training and chairs the firm’s Serving Seniors Committee.
With more than 25 years of experience in the financial services industry, Jennifer is active in industry events and maintains close engagement with peer firms, industry professionals, and regulators. She is a frequent speaker at FINRA and NSCP conferences and enjoys hosting educational, client-focused webinars.
In 2012, Jennifer completed the FINRA Certified Regulatory and Compliance Professional (CRCP) Program, then delivered through the Wharton School at the University of Pennsylvania. From 2019 through 2023, she served on FINRA’s Small Firm Advisory Committee (SFAC), as Chair in 2020.
In 2024, she was elected by the small firm broker-dealer community to serve a three year term on FINRA’s Board of Governors as one of three Small Firm Governors.
In 2026 she was invited to serve on NASAA’s Advisory Committee to the Senior Issues Committee for a three year term.
Jennifer’s areas of focus include mitigating fraud risks impacting firms and clients, as well as addressing the complex regulatory and interpersonal considerations involved in serving senior investors. She spearheaded the firms’ adoption of AARP’s BankSafe training and chairs the firm’s Serving Seniors Committee.
With more than 25 years of experience in the financial services industry, Jennifer is active in industry events and maintains close engagement with peer firms, industry professionals, and regulators. She is a frequent speaker at FINRA and NSCP conferences and enjoys hosting educational, client-focused webinars.
In 2012, Jennifer completed the FINRA Certified Regulatory and Compliance Professional (CRCP) Program, then delivered through the Wharton School at the University of Pennsylvania. From 2019 through 2023, she served on FINRA’s Small Firm Advisory Committee (SFAC), as Chair in 2020.
In 2024, she was elected by the small firm broker-dealer community to serve a three year term on FINRA’s Board of Governors as one of three Small Firm Governors.
In 2026 she was invited to serve on NASAA’s Advisory Committee to the Senior Issues Committee for a three year term.
Organization
XML Securities
XML Securities
Member