Jennifer L. Szaro, CRCP® | Source | Chief Compliance Officer at XML Financial Group

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Jennifer L. Szaro, CRCP®

Chief Compliance Officer at XML Financial Group
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Jennifer is the Chief Compliance Officer of XML Financial Group and the affiliated broker-dealer, XML Securities, LLC. She also serves on the XML Leadership, Executive, Operations, and Serving Our Seniors committees. Jennifer is an active participant in financial services industry events and regulatory conversations. She has represented small firm broker-dealers on FINRA’s Small Firm Advisory Committee (SFAC) since 2019, which she served as chair in 2020.

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  • Is a Great FINRA Purge Coming?

    As firms scramble to stay off FINRA’s new 'leper list' of broker/dealers with histories of misconduct, some say smaller businesses and reps with only minor regulatory blemishes are being unduly tarnished.

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  • We want to make sure that it's really handled for the firms that it's intended to, and the activity that it's intended to address, and not for good firms to get caught up into that and really have such negative consequences and ramifications. I think it will affect hiring decisions because if you were to hire people with certain checkpoints that would increase your matrix, that's a consideration. So I think you're going to see people scrutinizing anyone with records or their past history.

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