About Us
DKA was founded by Loriana Lucchese and Doug MacKinnon with the goal of providing personalized compliance solutions that are based on strong client relationships.
Loriana & Doug have more than 4 decades of combined professional experience in the financial services industry with the majority of their time being dedicated to compliance specific roles. Their approach to regulatory compliance is always done with the client’s unique needs in mind.
Loriana Lucchese is a cofounder of DKA Consulting Group and has more than 20 years of experience in the financial services industry. Loriana’s professional experience in financial services includes roles as a stockbroker, a trade allocation manager, a rollover retirement specialist, and an elite trader and relationship manager for high-net-worth clients. She has spent the last decade of her professional career focused on regulatory compliance consulting roles supporting registered investment advisers and broker-dealers.
Loriana specializes in the administration of a firm’s registrations and regulatory filings, the testing and review of compliance programs and their associated policies and procedures, annual compliance reviews and reports, and electronic communication reviews. Loriana has also been responsible for successfully completing both state and SEC registrations for multiple new investment advisers.
Loriana earned her undergraduate degree in business administration with a major in finance from Robert Morris University. She previously held FINRA’s Series 4 and 7 licenses and is currently an Investment Adviser Certified Compliance Professional (IACCP®) designee.
Doug MacKinnon is a cofounder of DKA Consulting Group and has more than 27 years of professional experience working with registered investment advisers and broker-dealers. The last two decades of his career have been focused on regulatory compliance specific roles at both financial institutions and compliance consulting firms.
Doug is a seasoned compliance consultant and has extensive professional experience in the development, management, and testing of compliance programs for broker-dealers and investment advisers. Doug works with both institutional and retail firms and is skilled at guiding his clients in the specific components of their compliance programs. This includes advising them on their policies and procedures, registration requirements, regulatory examinations, electronic communication oversight, marketing materials, and branch office inspections. In addition to assisting clients with their compliance programs, Doug has also served as Chief Compliance Officer for both broker-dealers and investment advisers.
Doug received a Bachelor of Arts from Centre College in 1996. He also obtained the Investment Adviser Certified Compliance Professional (IACCP®) designation from National Regulatory Services, Inc. in 2021, and holds the FINRA Series 7, 9, 10, 14, 24, 63 and 79 licenses.
Contact us for any of your regulatory compliance needs.
We look forward to hearing from you!