Jennifer Carty Scola
Chief Operating Officer, Chief Compliance Officer @Carty, Harding & Hearn, Inc
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WORK HISTORY
Chief Operating Officer, Chief Compliance Officer @Carty, Harding & Hearn, Inc
Carty, Harding & Hearn, Inc. is a full-service investment broker/dealer. We are a nationally recognized, well capitalized firm with over 55 years of experience in fixed income trading, sales and public finance. Licensed throughout the US, we have expertise in servicing individual as well as institutional clients.
EDUCATION
University of Memphis
Bachelor of Business Administration (B.B.A.), Finance, General
ABOUT JENNIFER CARTY SCOLA
Ms. Scola has been with Carty, Harding & Hearn, Inc. for over 35 years. She participates in every aspect of management of the firm and is responsible for most regulatory and compliance communications. She is experienced in all areas of the brokerage business, including investment banking, sales, compliance, clearing and management. Ms. Scola oversees the firm’s compliance department and is responsible for the recruitment and hiring of the firm’s brokers. In the past, she contributed to the firm’s municipal bond research efforts and was active in negotiated municipal bond underwritings, having fully participated in the cultivation, due diligence and final sale of such deals for the firm. Ms. Scola served as an elected member of the District Business Conduct Committee (DBCC) of the Financial Industry Regulatory Authority (FINRA) previously, National Association of Securities Dealers (NASD) and most recently served on the DBCC nominating committee. She was a member of the Security Industry Association’s Small Firm Committee for over 10 years and also served on the SIA’s first Continuing Education Committee. Ms. Scola is a Registered FINRA General Principal, holds a General Securities License, a Commodities License and is a Registered Options Principal. She holds a BBA in Finance from the University of Memphis and is a graduate of the Securities Industry School at Wharton.
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