Kathleen Lee

Prior to joining the firm, Kathleen served as in-house counsel to a globally managed services provider, as well as to investment advisers, broker-dealers and insurance companies. She provided advice on a variety of legal and regulatory matters, including risk management, corporate governance and compliance with:

• Federal and state investment advisory, as well as broker-dealer laws and regulations for various business models
• Exemptions from investment company registration
• State insurance laws and regulations
• Title I of Employee Retirement Income Security Act (ERISA) and Department of Labor (DOL) regulations
• State corporate laws
• Financial Industry Regulatory Authority (FINRA) rules

Her work encompassed services provided to individuals, state and local governments, as well as retirement plans and the preparation and filing of related regulatory applications and reports.

While serving as in-house counsel, Kathleen served on interdisciplinary teams executing complex transactions, including acquisitions, divestitures and various outsourcing arrangements. Kathleen also served as an adviser to insurance company committees for separate accounts and retirement plans. Kathleen has represented financial institution clients working with trade association groups in Washington DC and prepared regulatory comment response letters.

Prior to her in-house experience, Kathleen was a corporate and financial institutions associate for seven years at regional and specialty law firms in their greater Washington DC and South Florida offices.

Kathleen held her FINRA Series 7 and 24 licenses from 2007-2018. She is certified by The American College of Financial Services as a Chartered Financial Consultant and Retirement Income Professional.