Chris Wendt

Compliance Specialist


Chris Wendt joined Northern Lights Distributors, LLC (NLD) in March 2011. In his current role as Compliance Specialist, Mr. Wendt has a multitude of compliance-related responsibilities, including reviewing client advertising materials to ensure they adhere to regulatory guidelines and helping clients establish selling agreements with broker-dealers and banks.

After joining the financial services industry in 1996, Mr. Wendt spent 10 years at TD Ameritrade, maintaining several positions in customer service, trading, and corporate compliance. He then spent the next five years working for QA3 Financial as the brokerage operations supervisor.

Mr. Wendt graduated from the University of Nebraska at Omaha with a Bachelor of Science in economics. Additionally, Mr. Wendt currently holds the Series 7, 24 and 63 securities registrations. While away from the office, Mr. Wendt enjoys cooking, traveling, and spending time with his family.

Meet the Team


Executive Team

Bill Strait
President
Mike Nielsen
Chief Compliance Officer

Compliance Team

Gary Danahy
Compliance Program Director
Janelle Hardy
VP, Compliance
Chris Wendt
Compliance Specialist
Jeremy Buhr
Compliance Specialist
Joel Hansen
Compliance Specialist
Megan Happel
Compliance Specialist

Check the background of investment professionals on FINRA’s BrokerCheck.