Wendy Lanton

Wendy Lanton serves as 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 adviser. Ms. Lanton brings more than 30 years of experience in the financial services industry. She was elected to the FINRA Board of Governors in August 2020, where she served two consecutive terms. From December 2015 through August 2020, she was a member of the FINRA Small Firm Advisory Committee and served as the committee’s chairperson in 2018. She also served on the Steering Committee for the firm’s clearing firm, Pershing. Ms. Lanton has chaired numerous compliance forums for retail brokerage firms and is a frequent panelist and speaker at FINRA and SEC conferences. She regularly leads industry discussions on topics including top regulatory concerns, effective risk-based examinations, Regulation Best Interest, and cybersecurity. She is also the author of numerous compliance-focused articles covering subjects ranging from client suitability to cybersecurity.

Ms. Lanton graduated from George Washington University, where she majored in International Finance.