WS
Wendy D. Sheftel
LANTERN WEALTH ADVISORS
Melville, NY 11747
Some features on this profile are disabled
CRD#: 2300282
WS
Professional summary
Wendy Diane Sheftel, who also goes by Wendy Diane Lanton, Wendy Lanton, Wendy Sheftel, 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.
Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Wendy has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 87, Series 7, Series 14, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wendy Diane Lanton | Wendy Lanton | Wendy Sheftel
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.
LANTERN WEALTH ADVISERS, LLC SINCE 09/2008. INVESTMENT RELATED. MINORITY OWNER. APPROXIMATLEY 10 HOURS/MONTH SOME OF WHICH ARE DURING TRADING HOURS. DUTIES MAY INCLUDE FILING REQUIREMENTS AND PROCEDURES. FINRA Board of Governors; Elected Small Firm Governor. Non-Investment related. Washington DC. Term: 08/2020 - 08/2023. Approximately 10 hours/month most of which may be during securities trading hours. Duties include: rule review, idea generation and governance.
CRS (Client Relationship Summary) - RIA
Click below to view Wendy Diane Sheftel's 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®
NoneExperience
Current
October 13, 2010 - Present
LANTERN WEALTH ADVISORS, LLC
Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747RIA
CRD#: 147420
Melville, NY
Current
June 24, 1993 - Present
HEROLD & LANTERN INVESTMENTS, INC.
Office #1: 35 Pinelawn Road Suite 101e, Melville, NY 11747BD
CRD#: 30996
Melville, NY
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".
LW
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)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.RR
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
RR
Alabama(3/20/2006)
RR
Arizona(12/3/2008)
RR
California(8/12/1993)
RR
Connecticut(8/12/1993)
RR
Florida(8/17/1993)
RR
Hawaii(8/16/2019)
RR
Indiana(8/18/2004)
RR
Iowa(11/13/2008)
RR
Kentucky(11/3/2008)
RR
Louisiana(3/20/2006)
RR
Maine(7/14/2004)
RR
Maryland(3/29/2016)
RR
Massachusetts(1/7/2011)
RR
Minnesota(1/29/2004)
RR
Mississippi(3/20/2006)
RR
Nevada(11/5/2008)
RR
New Hampshire(5/13/2016)
RR
New Jersey(8/16/1993)
RR
New York(6/14/1993)
IAR
New York(9/16/2021)
RR
North Dakota(11/5/2008)
RR
Ohio(7/7/2020)
RR
Oregon(11/18/2008)
RR
Pennsylvania(8/12/1993)
RR
Tennessee(3/20/2006)
RR
Utah(11/12/2008)
RR
Washington(9/17/2013)
RR
Wyoming(11/6/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LW
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)Upgrade to AdvisorCheck Premium
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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
20
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 379 |
| AUM (Assets Under Management) | $ 265,466,991 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
