About










Outstanding Contribution Award in 2005 from the FPA of Minnesota

ABOUT

Keith Alden Loveland

My background includes being inside firms, most often as Chief Compliance Officer, Chief Legal Officer, Chief Operations Officer, Chief Financial Officer and Chairman of the Board, and serving firms from the outside as an independent consultant.

I currently serve as a subject matter expert to the North American Securities Administrators Association™ (NASAA) on their Series 63/65/66 Qualification Exam Committee. I previously served as a subject matter expert to the New York Stock Exchange (NYSE) on their Series 7 item writing committee.

I have served as expert witness for the United States Department of Labor (DOL) and the United States Securities Exchange Commission (SEC), and was selected by the Minnesota Commerce Department to assist the Securities Division as Special Securities Law Consultant, 2017-2018.

I have been a member of the Financial Planning Association (FPA) since 1983. I was the inaugural recipient of the Outstanding Contribution Award in 2005 from the FPA of Minnesota. I was a recipient of the national FPA Heart of Financial Planning Award in 2010.

Providing Tutoring

Providing Tutoring

My service as a teacher spans many years and many subjects. I was Adjunct Professor for ten years at William Mitchell College of Law. I taught Philosophy of Law and Jurisprudence for two years at Hamline University. I have taught cybersecurity and privacy law, insurance law, securities law, portfolio construction, and fiduciary practices for many years. I routinely am asked to provide tutoring for persons seeking:
•  Series 4 - Registered Options Principal;
•  Series 7 - General Securities Representative Exam;
•  Series 9/10 - General Securities Sales Supervisor Exam;
•  Series 27 - Financial and Operations Principal Exam; and
•  Series 65 - Uniform Investment Adviser Law Exam.

"Investment themes may come and go. Markets gyrate. Investment Managers are Hot, or Not. The world of investing may be defined as a complex web of legal, regulatory, fiduciary and ethical demands." – Keith Loveland

Services

I have served on Boards of Directors for startup companies, private associations, and at the College of Liberal Arts at my alma mater. I maintain a small group of executive coaching clients within financial services and academia.

I am an attorney admitted to the Bar in the State of Minnesota, Federal District Court (MN) and 8th Circuit Court of Appeals. I am a member in good standing of Minnesota and American Bar Associations.

I have limited my practice to broker-dealer and investment adviser firms, whether they be dual registrants, hybrid firms, or fee-only financial planning practices. Among the services my clients have received:
•  AML Independent Audits.
•  Cybersecurity and Reg S-P Privacy Audits.
•  Creation and/or updating of written supervisory procedures, supervisory control procedures, compliance policies, and operations manuals.
•  Fiduciary Audits and CEFEX Certifications.
•  Mock audits to help firms prepare for actual audits by the SEC, State or FINRA.
•  Registration as an Investment Adviser.
•  Enforcement defense in regulatory and industry forums.
•  Continuing education courses for investment professionals on diverse topics, inter alia, Fed Watching; Modern Portfolio Theory; and Portfolio Construction Best Practices.

Keith Loveland is a consulting expert in arbitration and litigation forums
Mediation is different than arbitration and litigation

Contact Me:

"My passion to serve has been demonstrated throughout the decades as an attorney, author, consultant, teacher, and expert witness. " – Keith Loveland

Keith Loveland, JD, Attorney at Law
500 Wells Fargo Plaza, 7900 Xerxes Avenue South
Minneapolis, MN 55431
Phone: 952-746-1106 / Cell: 612-961-6019
E-Mail: kloveland@cap-mgt.com

  • Professional Services

What is Mediation

"Mediation is different than arbitration and litigation and is often a more congenial, effective process for all involved. If you would like to know more about mediation, contact me at your convenience."

  • CONTACT

    500 Wells Fargo Plaza
    7900 Xerxes Avenue South
    Minneapolis, MN 55431

  • Hours

    Mon - Fri 9:00 - 05:00
    Saturday 10:00 - 03:00

  • Phone

    Phone: 952-746-1106
    Cell: 612-961-6019

  • Email

    Keith Loveland, JD, Attorney at Law
    kloveland@cap-mgt.com
Keith Alden Loveland