Keith Alden Loveland
Keith Alden Loveland is a nationally recognized attorney, author, consultant and teacher within the financial services profession. He is a subject matter expert...
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#MinnesotaLawyer #NASAA #Cybersecurity
#TripleNineSociety
Keith Loveland, Loveland Consulting
SER's Practice Management Committee presents
"Defining the Scope of the Engagement"
Thur March 5 via Zoom
1:00pm - 2:00pm (ET)
Featuring: Keith Loveland
www.lovelandconsulting.com/securities-e...
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#MinnesotaAttorney #MinnesotaLawyer #LicensedAttorney
Keith Loveland, Loveland Consulting
EDUCATION
• BA in Pre-Law & Philosophy from the University of Minnesota, Duluth, & a Juris Doctor from William Mitchell College of Law
• Admitted to law practice in Minnesota, & also admitted to Federal ...
www.lovelandconsulting.com/experience.h...
#KeithLoveland #MinnesotaLawyer #MinnesotaAttorney
Financial Services Sector
FINANCIAL SERVICES SECTOR
• The financial services sector is not simple. Never has been. Never will be. It is a VUCA world: Volatile, Uncertain, Complex, and Ambiguous.
www.lovelandconsulting.com
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#FinancialExpert #FinancialServices #Investments #InvestmentThemes
Keith Loveland, Loveland Consulting, Expert Assistance
SERVICES:
• AML Independent Audits
• Cybersecurity and Reg S-P Privacy Audits
• Fiduciary Audits and CEFEX Certifications
...
MORE: www.lovelandconsulting.com/about.html
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#FiduciaryAudits #CEFEXCertifications #SEC #FINRA #InvestmentAdviser
Keith Alden Loveland, Loveland Consulting
RECOGNITION
2017 - One of two inaugural recipients, Outstanding Alumnus, College of Liberal Arts, University of Minnesota Duluth
2010 - Recipient of the prestigious Heart of Financial Planning Award...
www.lovelandconsulting.com/recognition....
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Loveland Consulting, Financial Services
FINANCIAL SERVICES - INDUSTRY INVOLVEMENT
• Member of Financial Planning Association of Minnesota since 1983
• Subject Matter Expert, Series 63/65/66 revisions, North American...
MORE: www.lovelandconsulting.com/experience.h...
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#FinancialExpert
Keith Loveland, Financial Expert and Attorney
KEITH LOVELAND
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...
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#KeithLoveland #LovelandConsulting #MinnesotaAttorney
Keith Loveland, Financial Expert
SPECIALTY
For most of my professional life, I have specialized in helping investment professionals and their firms do things the right way.
• Conducts independent FINRA Rule 3120 "test-and-verify" audits for broker-dealers...
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Keith Loveland - Author, Poet, Artist
A LIFELONG LEARNER
• "I have always been interested in history, philosophy and politics, and I love to look at history, the comings and goings of civilizations and ideas, and..."
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#LovelandAuthor #MinnesotaArtist
Keith Loveland, Expert Witness
KEITH ALDEN LOVELAND - EXAM HISTORY
I've taken and passed the following license exams:
• Series 7 - General Securities Representative
• Series 63 - Uniform Securities Agent State Law Examination
...
MORE: www.lovelandconsulting.com/experience.h...
#KeithLoveland #LovelandConsulting #FPAMinnesota
Keith Loveland Video
KEITH LOVELAND - VIDEO:
• Enterprise Wide Risk Assessments, Anti-Money Laundering Audits, Creation of Regulation S-P Privacy Programs, Cybersecurity Policies and Procedures, Disaster Recovery Plans, and Fiduciary Assessments.
VIDEO: www.lovelandconsulting.com/video-enterp...
#KeithLoveland
Keith Loveland Video
KEITH LOVELAND VIDEO:
• "My clients often begin with an Enterprise Wide Risk Assessment. The facts we discover during a Risk Assessment create a foundation for meeting at least 4 regulatory requirements."
VIDEO: www.lovelandconsulting.com/video-enterp...
#KeithLoveland #LovelandVideo #Loveland
Keith Loveland Novel
“THE END OF THE EMPIRE” - Novel by Keith Loveland
• The End of the Empire is a rich exploration of the changing values that have shaped our country since the Second World War, particularly ...
WEBSITE: keithlovelandauthor.com
#KeithLovelandAuthor #KeithLoveland #LovelandAuthor #TheEndOfTheEmpire
Loveland Consulting News
One Billion Dollar AUM Threshold Proposed for Federal RIA Status
• On January 7, 2026, the Securities and Exchange Commission (the “Commission” or the “SEC”) proposed to amend the rules under ...
MORE:
www.lovelandconsulting.com/One-Billion-...
#KeithLoveland #LovelandConsulting #AdvisersAct #SEC
Keith Loveland Novel "The End of The Empire"
TESTIMONIALS
Praise from the Readers
• "More than a tale of American war heroes, The End of the Empire is a history lesson wrapped in a love story spanning three generations...”
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#AuthorPoetArtist #MinnesotaArtist
Keith Loveland - Expert Witness
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...
MORE:
www.lovelandconsulting.com/about.html
#KeithLoveland #LovelandConsulting
Meet Keith Loveland
MEET Keith Loveland
• 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.
www.lovelandconsulting.com/about.html
#KeithLoveland #LovelandConsulting #NASAA #NYSE
#SEC #LawConsultant
Financial Markets
A Regulation S-P Notice
• A financial institution's privacy policy must contain at least seven elements according to Regulation S-P. It must be written in plain English...
www.lovelandconsulting.com/Financial-Re...
#KeithLoveland #LovelandConsulting #FinancialInstitution
#Privacy #RegulationSP
Fiduciary Rule
Trump Labor Department ends defense of investment advice fiduciary rule
• On November 24, 2025, in an unopposed motion to dismiss, the government dismissed its appeals in two cases in the United States Court of Appeals for the Fifth Circuit.
www.lovelandconsulting.com/Labor-Defens...
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Keith ("Sunny") Loveland, Juris Doctor
Keith ("Sunny") Loveland, Juris Doctor, AIF®, AIFA® contributed to the fourth major revision of the Prudent Practices for Investment Advisors...
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#AIFA #PrudentPractices #FinancialAdvisors
Financial Markets
Keith Loveland - A Student of Financial Markets
• I've said I've been a student of the market my whole life. That's not accurate. I didn't read "Portfolio Selection"...
www.lovelandconsulting.com/Keith-Lovela...
#KeithLoveland #LovelandConsulting #FinancialExpert #FinancialMarkets #MarketAnalysis
Air Traffic Controllers
Government Shutdown Ends
• On November 12, 2025, President Donald Trump signed a funding bill ending the 43-day government shutdown, longest in U.S. history ...
READ:
www.lovelandconsulting.com/Government-S...
#KeithLoveland #LovelandConsulting #GovernmentShutdown
#FundingBill #FederalWorkers
Keith Loveland Video
WATCH VIDEO: KEITH LOVELAND
• During his years in business, Keith has passed numerous licensing exams and have been honored to receive recognition for his work ...
VIDEO: lovelandconsulting.com/video-welcom...
#LovelandConsulting #KeithLoveland #BrokerDealers
#FinancialPlanner #InvestmentAdvisers
Keith Loveland Debut Novel - The End of The Empire
Keith Loveland DEBUT NOVEL
Keith Loveland has always been intrigued by how societies deal with change. While an undergraduate, he began creating the back stories of two families in post-WW II America
keithlovelandauthor.com
#KeithLoveland #KeithLovelandAuthor #TheEndOfTheEmpire
#KeithLovelandNovel
Keith Loveland Video / Welcome to Loveland Consulting
VIDEO: KEITH LOVELAND
• Keith Loveland talks about assisting broker-dealers, financial
planners, investment advisers and their associated personnel on...
VIDEO: lovelandconsulting.com/video-welcom...
#LovelandConsulting #KeithLoveland #BrokerDealers
#FinancialPlanner #InvestmentAdvisers
Mediation Services
MEDIATION SERVICES
Before you initiate an arbitration or court litigation, consider mediation as the most natural first step in dispute resolution. If the case can't be resolved through mediation you can...
More: www.lovelandconsulting.com/services.html
#KeithLoveland #LovelandConsulting #Mediation
The End of The Empire, Novel by Keith Loveland
THE END OF THE EMPIRE | by Keith Loveland
• The End of the Empire is an eighty-year-long saga that tells the story of three generations of the MacAlpine and Bergen families, while at the same time paralleling the trajectory of the nation...
keithlovelandauthor.com
#KeithLoveland #TheEndOfTheEmpire
Saint Paul MN
ASCEND: THE ANNUAL CONFERENCE OF THE FPA OF MINNESOTA
October 21-22, 2025
Saint Paul RiverCentre, Saint Paul MN
The 2025 ASCEND Conference features nationally recognized and locally respected experts
Info: www.lovelandconsulting.com/SaintPaul-20...
#KeithLoveland #ASCEND #FPAMinnesota #2025ASCEND
Keith Loveland, Loveland Consulting
Keith Loveland Teaching IAR CE
Fri, Nov 7, 2025
at the FPA MN Offices of Ewald Consulting
1601 Utica Ave S, Minneapolis, MN 55416
Read More www.lovelandconsulting.com/Keith-Lovela...
#LovelandConsulting #KeithLoveland #FiduciaryDuties #IAR
#FPAMinnesota #IARCE #InvestmentAdvisers #IARregistration
