William P. Finkelstein

LANTERN WEALTH ADVISORS

Melville, NY 11747

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CRD#: 1086449

Professional summary

William Paul Finkelstein is a registered financial advisor currently at LANTERN WEALTH ADVISORS, LLC located in Melville, New York and HEROLD & LANTERN INVESTMENTS, INC. located in Melville, New York.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. William has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

HEROLD & LANTERN INVESTMENTS, INC (INVESTMENT REALTED) AN AFFILIATED BROKER DEALER LOCATED AT 35 PINELAWN RD SUITE 101E MELVILLE, NY 11747. ACTING AS A REGISTERED REPRESENTATIVE FOR TRANSACTIONAL ORIENTED BUSINESS AS OF 12/03/2013. INTEND TO DEVOTE 10 HOURS/MONTH ALL OF WHICH ARE DURING SECURITIES TRADING HOURS. DUTIES INCLUDE PROVIDING BROKERAGE SERVICES TO RETAIL INVESTORS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Paul Finkelstein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 14, 2013 - Present

LANTERN WEALTH ADVISORS, LLC

Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747

RIA

CRD#: 147420

Melville, NY

Current

January 6, 2014 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747Office #2: 35 Pinelawn Road Suite 101e, Melville, NY 11747

CRD#: 30996

Melville, NY

Past

December 11, 2009 - March 8, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

SYOSSET, NY

Past

March 6, 2007 - December 15, 2009

BREAN CAPITAL, LLC

CRD#: 23723

NEW YORK, NY

Past

November 13, 1991 - March 5, 2007

MARK BOYAR & COMPANY, INC.

CRD#: 11548

NEW YORK, NY, NY

Past

June 6, 1989 - March 3, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

January 19, 1983 - August 28, 1986

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - (1/15/2014 Approved)

California

Registered Investment Advisory firm - (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - (1/17/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(1/23/2020)

IAR

New York
(9/16/2021)

Pennsylvania
(3/29/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/22/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/14/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - (1/15/2014 Approved)

California

Registered Investment Advisory firm - (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - (1/17/2014 Terminated)

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Contact information

Main Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Mailing Address

Phone number

(631) 454-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LANTERN WEALTH ADVISORS APPENDIX 1 - WRAP BROCHURE (3/31/2025)

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	379
AUM (Assets Under Management)	$ 265,466,991

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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William P. Finkelstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Paul Finkelstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEROLD & LANTERN INVESTMENTS, INC.

PURSHE KAPLAN STERLING INVESTMENTS

BREAN CAPITAL, LLC

MARK BOYAR & COMPANY, INC.

DREXEL BURNHAM LAMBERT INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

LANTERN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/2020

Series 65

Date: 11/14/2013

SIE

Date: 10/1/2018

Series 7

Date: 1/15/1983

FINRA

Current Firm

LANTERN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LANTERN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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