Wendy Walton has been the General Counsel of Avantax Wealth Management since August 2019. She provides legal guidance on various matters involving securities laws, regulations, regulatory administrative and enforcement matters, litigation and arbitration. Wendy joined Blucora, Inc. (NASDAQ: BCOR), the parent company of Avantax Wealth Management, in March 2017, and serves as its Vice President – Deputy General Counsel and Assistant Secretary.
Wendy began her legal career in 2004 at Jones Day and then transitioned to serving as in-house legal counsel in 2009 where she was the Vice President – Managing Associate General Counsel and Assistant Secretary of Cash America International, Inc. (formerly NYSE: CSH). While serving in these roles, Wendy advised on corporate and securities matters, stock exchange compliance, corporate governance, executive compensation, Regulation FD compliance, insider trading compliance and other general corporate matters. Wendy also counseled public and private companies on complex business transactions, including initial public offerings, secondary offerings, debt offerings, credit facilities, spin-off transactions, mergers, acquisitions and divestitures.
Wendy graduated from Texas Tech University School of Law, where she also earned an MBA. She has an undergraduate degree in Business Finance from the University of Texas. Prior to attending law school, Wendy worked as a broker and supervisor at TD Waterhouse (now TD Ameritrade) and held her Series 4, 7, 8, 24 and 63 securities licenses.