Wendy Lanton

Wendy Lanton Chief Compliance Officer, Herold & Lantern Investments, Inc., and Percheron Asset Management Group

Wendy Lanton is Chief Compliance Officer of Herold & Lantern Investments, Inc. She is one of the founding principals of Lantern Investments, a FINRA registered broker-dealer, and Lantern Wealth Advisors, an SEC registered investment advisor. Ms. Lanton has more than 25 years experience in the financial services industry. Ms. Lanton was elected to the FINRA Board of Governors in August 2020. She served on the FINRA Small Firm Advisory Committee from December 2015 until August 2020, and was the committee chairperson in 2018. She currently serves on the Steering Committee for the firm’s clearing firm, Pershing.  Ms. Lanton has chaired multiple compliance forums for retail brokerage firms, and is a frequent panelist and speaker at the FINRA Annual Conference.  She regularly leads industry discussions on topics such as Anti-Money Laundering, Top Regulatory Concerns, and Effective Risk Based Examinations. In February 2016 Ms. Lanton served as a panelist representing small firms at the Cyber security Conference. She is the author of numerous compliance-centric articles focusing on topics ranging from client suitability to cyber-security.

Ms. Lanton graduated from George Washington University with a major in International Finance.