LOVELAND CONSULTING

About Keith Alden Loveland

I consult on virtually all areas of broker-dealer and investment adviser legal and compliance matters, including services for dual registrants, hybrid firms, and financial planning practices.

Among the services I provide to clients:

Registration as an Investment Advisor
Creation and maintenance of compliance policies, supervisory procedures and operations manuals
"Mock audits" to help firms prepare for actual audits by the SEC, State or FINRA
Continuing education courses for advisers on diverse topics

I have worked inside large and small firms, most often as Chief Compliance Officer, Chief Legal Officer, Chief Operations Officer, Chief Financial Officer and Chairman of the Board.

For more on my background, click any of the categories at right.