Kathy M. Lutka
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathy M Lutka, who also goes by Kathy Ann Knefel, Kathy Mayo Lutka, Kathleen Mayo, Kathy Ann Mayo, Kathy Ann Revak, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1999. Kathy had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2010 - March 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 2010 - March 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2007 - February 8, 2010
WELLS FARGO INVESTMENTS, LLC
October 2, 2007 - February 8, 2010
WELLS FARGO INVESTMENTS, LLC
May 29, 2007 - October 4, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - October 4, 2007
CITIGROUP GLOBAL MARKETS INC.
January 3, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
December 19, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 4, 2003 - January 17, 2006
EAGLE STRATEGIES LLC
October 2, 2002 - January 4, 2006
NYLIFE SECURITIES LLC
May 12, 2000 - September 25, 2002
OSAIC FA, INC.
December 16, 1999 - September 25, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 16, 1999 - September 25, 2002
OSAIC FA, INC.
May 6, 1999 - November 15, 1999
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
