Kurt Lofgren


SVP, Advisory CCO

LPL Financial


Kurt Lofgren is currently a Senior Vice President at LPL Financial where he serves as the Chief Compliance Officer for LPL’s investment adviser.  Kurt’s responsibilities include oversight of advisory policies, products, accounts, testing, regulatory findings, and all other investment adviser programs as well as LPL’s independent investment adviser channel. Previously, Kurt was the president of Lofgren & Associates, Inc., a consulting firm which providied DOL, compliance, supervisory and regulatory assistance to financial services firms. For 11 years, Kurt also 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.


Related Sessions

View full schedule