Katie Lutz

About Katie Lutz

My background with Charles Schwab for 6+ years, experience I received to providing clients with the resources they need to make financial decisions, market mechanics, balancing their portfolio, and making key decisions for their future. I also served as a project manager where I was responsible for managing people to stay on task and within budget. I mainly spent my time in project management on integrations and mergers. I recently was an operations investment specialist where I was hands on supporting advisors with opening accounts, financial planning, increasing advisors’ AUM, approved financial plans, approved financial plan fees, gave suitability advice to advisors, and supported their clients. I additionally did reporting analysis for the general agent where I tracked AUM, GDC, net flows, new accounts, and new financial planning information from advisors. I also supported unassigned clients needs and had sales conversations about consolidating assets and assigning them to new advisors. I am now a compliance analyst where I am responsible for knowing the Securities industry rules, regulations, and laws. I communicate how these rules, laws, and regulations can be built into client firm policies and procedures. I have conversations with clients how rules, laws, and regulations may impact a client’s specific investment advisory firm and help clients determine the best path forward for their businesses. Essentially, I am a compliance consultant in the financial services industry.

Experience

1. Compliance Analyst

   AdvisorLaw

   Mar 2025 — Present · Broomfield, CO, US

   Updated regulatory filings• Reviewed email and advertising communications for compliance with state and federal regulations• Assisted in preparation and review of compliance manuals and other investment adviserdocumentation• Participated in ongoing reviews of investment adviser activities• Participated in communications with clients regarding regulatory obligations and deadlines• Provided team support to attorneys•Communicated how SEC rules, laws, and regulations can be built into client firm policies and procedures. • Discussed with clients how rules, laws, and regulations may impact a client’s specific investment advisory firm and help clients determine the best path forward for their businesses

Education

• University of Northern Colorado

  Bachelor of Arts - BA, Business Administration and Management, General