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Regulation and Compliance > Federal Regulation > FINRA

Securities America's CEO Re-Elected to FINRA Board

By Melanie Waddell

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Headshot of Securities America CEO Jim NagengastJim Nagengast, CEO of Securities America Financial and president of Securities America Inc., was re-elected Friday as the Financial Industry Regulatory Authority’s Large Firm Governor, while Wendy Lanton, chief operations/compliance officer for Lantern Investments, Inc., was elected as small firm governor.

(Securities America became part of Advisor Group earlier this year after being sold by Ladenburg Thalmann; KMS Financial Services, Securities Service Network and Investacorp are set to become part of Securities America by year-end.)

Eileen Murray, former co-CEO of Bridgewater Associates, LP, also began her tenure Friday as chairperson of FINRA’s Board of Governors.

Maureen Jensen, former Chair and CEO of the Ontario Securities Commission (OSC), and Eric Noll, CEO of Context Capital Partners, also began their appointments on the FINRA Board.

Nagengast has served on FINRA’s board since 2018, when he was elected by large firms via a special election to fill a Large Firm Governor vacancy. He currently serves on the Board’s Finance, Operations and Technology Committee, and its Regulatory Operations Oversight Committee.

In December 2015, Lanton was appointed to the FINRA Small Firm Advisory Committee and served as its chairperson in 2018. Lanton graduated from George Washington University where she majored in International Finance.

Nagengast previously worked as an analyst for Merrill Lynch Capital Markets and as a consultant for Marakon Associates in Greenwich, Conn. He is a former member of the adjunct faculty at the University of Nebraska at Omaha, and has an A.B. from Harvard University and an M.B.A. from Columbia University.

“Congratulations to Wendy for her election to the FINRA Board, and to Jim for his re-election,” said FINRA CEO Robert Cook, in a statement. “We look forward to working with Wendy and continuing to work alongside Jim in support of FINRA’s mission of protecting investors and ensuring integrity of the markets.”

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Melanie Waddell

@Think_MelanieW

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