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Financial Services Industry Involvement

  • New York Stock Exchange Series 7 Item Writing Committee
  • Member, Financial Planning Association. Currently serving on the Board of Directors for the Financial Planning Association, 2011 - 2013
  • Subject Matter Expert, Series 65/66 revisions, North American Securities Administrators' Association (NASAA)
  • Securities Arbitrator for NYSE, NASD, CBOE, NFA and AAA
  • Member, SIFMA Compliance and Legal Division
  • American Bar Association, Business Law Section, Committee on Federal Regulation of Securities, and Committee on State Regulation of Securities.
  • Adjunct Professor, William Mitchell College of Law
  • Member, Financial Services Auditor Group, The Institute of Internal Auditors
  • Member, Investment Management Council, Center for Fiduciary Studies
  • Member, National Society of Compliance Professionals
  • Member, Securities Experts' Roundtable


For more information, contact Keith Loveland, 952-746-1106, or by email at: kloveland@cap-mgt.com