Lantern Investments, Inc., Chief Operations/ Compliance Officer
Wendy Lanton has been in the financial services industry for more than 25 years. She is one of the founding principals of Lantern Investments, a FINRA registered broker dealer, and Lantern Wealth Advisors, an SEC registered investment advisor. She has been the Chief Compliance Officer of Lantern Investments since its inception in 1993. Ms. Lanton is responsible for both the firm’s compliance and the day to day operations. She was appointed to the FINRA Small Firm Advisory Board in December 2015 and currently serves as the chairperson. She also currently serves on the Steering Committee for her firm’s current clearing firm. Ms. Lanton has also served as the chairperson for multiple Compliance Forums for retail brokerage firms. She was a panelist/speaker at the FINRA Annual Conferences in 2014, 2016 and 2017. Her industry perspective was called upon to discuss 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 Cybersecurity Conference. She has written numerous compliance-centric articles focusing on topics ranging from client suitability to cyber-security. Ms. Lanton graduated from George Washington University where she majored in International Finance.