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Kurt Lofgren
Of Counsel
[email protected]
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Kurt Lofgren is Of Counsel and Senior Compliance and Regulatory Consultant to Freeman Mathis & Gary. In this role he leads a group of staff to help clients develop effective compliance programs consistent with their business strategies, create effective risk mitigation programs and resolve regulatory issues. His consulting services focus on investment adviser and broker-dealer matters.

Mr. Lofgren has been an executive compliance leader and attorney at various firms throughout his career. Most recently, Mr. Lofgren led LPL Financial’s Business Risk Management department, as well as serving as CCO for the firm’s investment adviser. Prior to joining LPL, he was the CCO for Ameriprise Financial, leading the firm’s regulatory compliance program for its’ broker-dealer, investment adviser, and insurance/annuity affiliates, as well as oversight for the clearing functions, trading, and domestic and offshore operations. Earlier in his career, Mr. Lofgren worked for the Securities Exchange Commission for several years before becoming Corporate Counsel for OLDE Financial and then Assistant General Counsel for Northwestern Mutual.

Mr. Lofgren has also been actively involved in the industry previously serving on the Financial Services Institute’s Compliance Council, the Securities Industry and Financial Markets Association’s (SIFMA) Compliance and Regulatory Policy Committee and the Financial Industry’s Regulatory Authority’s (FINRA)Membership Committee. Mr. Lofgren maintains the Series 7 and 24 securities registrations.

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