Kurt Lofgren
Kurt Lofgren is currently the Chief Compliance Officer for J.W. Cole Financial and J.W. Cole Advisors. Previously, Kurt served a Senior Vice President at LPL Financial where he served as both the Head of Business Risk Management and as the Chief Compliance Officer for LPL&'s investment adviser. Kurt's responsibilities included oversight of risk mitigation, policies, products, accounts, testing, regulatory matters, recruit onboarding, and other supervisory and investment adviser programs for LPL's independent investment adviser channel. Prior to that time, Kurt served as Senior Vice President and Chief Compliance Officer for Ameriprise Financial Services, Inc. In that capacity, Kurt was responsible for the implementation and management of the Regulatory Compliance program for Ameriprise Financial, including oversight for insurance and annuities, the retail distribution channel, advisory activities, clearing, and brokerage operations. Specific areas of focus included establishing effective and efficient corporate and field policies, sales practice oversight, investigations, surveillance, new product development, retirement services, field education, training, anti-money laundering, fraud prevention, partnering with business areas on risk reduction, regulatory interaction and industry advocacy. Kurt graduated from Loyola University School of Law in Chicago, and worked in Enforcement for the Securities Exchange Commission for several years before becoming Corporate Counsel for Olde Financial. Kurt then moved to Northwestern Mutual in Milwaukee Wisconsin, serving as Assistant General Counsel, helping the firm to develop their securities distribution system.
7d. BD/IA – Effective Supervisory Programs for Smaller Firms (Intermediate - OPEN)