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Percheron - Shareholder · Herold Advisors, Inc.

Wendy D. Sheftel

CRD 2300282 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Herold Advisors, Inc., an SEC-registered broker-dealer firm based in New York, NY with $540 million in regulatory assets, lists Wendy D. Sheftel on its Form ADV as Percheron - Shareholder, a control person. The SEC filings also name Wendy at 1 other registered adviser.

Firms and roles

AtlasMembers

Wendy’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
2 firmsLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Lawrence S. HeroldHerold Advisors - President, Director, CEO, Chief Legal Officer, CCO, Herold Advisors, Inc.
  • Paula M. HeroldHerold Advisors, Inc - Secretary, Herold Advisors, Inc.
  • Keith M. LantonPercheron President and Treasurer, Herold Advisors, Inc.
  • Daphne Jo StascoChief Compliance Officer, Lantern Wealth Advisors, LLC

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Wendy’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.