RIA Registrar uses a team approach to provide extensive experience and expertise as your comprehensive advisory firm back office.
Meet our executive staff.
PresidentRead Sheri's bio
Director of ComplianceRead Heather's bio
Director of RegistrationRead Amy's bio
Director of RegistrationRead Amanda's bio
Director of RegistrationRead Michelle's bio
Rob Sipe, CRC, CFS, LUTCF
Sr. VP of MarketingRead Rob's bio
VP of MarketingRead Mark's bio
VP of MarketingRead Dave's bio
VP of MarketingRead Mike's bio
CPA/PFSsm, MBARead Nick's bio
Chief Compliance ConsultantRead Walter's bio
Keith Kessel, Esq
Regulatory-Legal ConsultantRead Keith's bio
Sheri Mushel has 20 years of experience in a myriad of facets growing and operating successful businesses. Her background includes serving in numerous executive roles to include President, Chief Financial Officer, Director of Finance and Operations, Human Resources, and Sales Manager. She has extensive experience in business start-up, required initial records and bookkeeping, ongoing books and recordkeeping, personnel issues, resolving legal matters, and overall business operations. Sheri has registered over 700 RIA firms. She currently partners with approved RIA firms to set-up and maintain required books and records, review marketing media and provide training for Chief Compliance Officers and affiliated IARs. In addition, she prepares RIA firms for onsite audits and personally works with securities regulators for deficient finding's post audit.
Sheri’s educational background includes a degree in Business Administration, Industrial Relations and Economics. She is also a registered notary. Sheri currently serves as the President of RIA Registrar, LLC.
Michelle joined RIA Registrar in December 2013. Most recently, Michelle worked at Questar Capital, a local Broker Dealer, for the past eight years. She has extensive experience working with investment advisory services, licensing, compliance, financial planning, and brokerage to name a few. She was responsible for handling all RIA and Third Party Management quarterly billing, all operations including business processing and customer satisfaction. She was nominated and awarded Employee of the Quarter by Senior Management for her help in starting up a new branch of the company and implementing procedure manuals for future employees. Her ability to handle even the toughest of situations with professionalism has also been recognized frequently during her tenure.
Prior to working at Questar Capital Michelle worked as a front end manager at Target and prior to that was an upper level manager working with The Pampered Chef. Both companies allowed Michelle to manage and train team members and work closely with the public as well as the flexibility to spend time with her family.Back to the top
Heather Simmons joined RIA Registrar in January of 2014. She has worked in the securities industry for over 15 years. She began her career in the securities industry working in the back office at American Express Financial Advisors. She later transitioned to a mid-sized broker-dealer where she held a variety of roles. For the past five years she has been in the compliance area. Prior to joining RIA Registrar she was Vice President of Field Compliance working closely with registered representatives in the field.
Heather has extensive experience with all facets of compliance including office inspections, advertising review, outside business activities, marketing support, continuing education and responding to regulators. Her favorite part of compliance is working with people in the field to help mitigate risk in the ever-changing world of financial services. Heather holds the series 6, 7, 24 and 63 FINRA registrations.
Heather is a graduate of the College of St. Catherine in St. Paul, Minnesota. She holds a degree in elementary education.Back to the top
Amy Coulter join RIA Registrar in January 2011. Amy's background is in the legal field as a legal secretary and administrative assistant. During her tenure as a legal secretary Amy worked closely with attorneys in compiling legal documents and drafting correspondence. She was also responsible for the general overall organization and day to day operations of the office, including scheduling appointments, and generating and updating legal case files.
Amy's devotion to her family and staying physically active moved her from the legal arena to Tri-Fitness, a retail sporting goods store. Working in retail allowed Amy the luxury of having a flexible schedule, affording her more time to spend with her two children. While at Tri-Fitness, Amy managed sales orders, communicated daily with vendors, developed and implemented the inventory control system and trained new employees.
She is a graduate of Hamline University in Minnesota where she received a Bachelor of Arts in Business Administration. Amy was also a NCAA Division III All-American in swimming.
With Amy's background she brings exceptional organizational and administrative skills to our team. We are excited and fortunate to have Amy as part of the Registrar family.
Amanda Luke joined RIA Registrar in April 2012 and offers a diverse background in the insurance, investments and health care fields. Amanda has successfully completed the National Association Certified Public Bookkeepers QuickBooks Certification.
Serving in the insurance and investments fields, Amanda boasts valuable experience working hand-in-hand with independent financial professionals. She provided administrative support to deliver clients with product information regarding all available services and products as well as assisted with day-to-day business operations. Amanda performed tasks ranging from application processing, to client administration and upkeep, to administrative duties in the office such as supply ordering and tax filing. In her role, Amanda was also responsible for the daily management of all employees, which consisted of weekly staff meetings, monthly performance reports, probationary and misconduct issues, HR processes, and office activities. Amanda created many administrative systems and processes during her tenure, illustrating her ability to be very disciplined and well organized.
In the health care field, Amanda's previous experience was as a Certified Medical Assistant. She worked closely with doctors to provide pre-treatment, post-treatment and during treatment assistance. Daily duties involved patient vitals, chart upkeep, taking blood, processing insurance claims, and prepping and cleaning rooms.
Amanda is a graduate of Robert Morris University in Chicago, IL with a Bachelor of Business Administration with a concentration in Healthcare Administration.Back to the top
Robert H. Sipe, CRC, CFS, LUTCF
Rob Sipe started his career in the financial services industry in 1987 after finishing his studies at the University of Minnesota where he majored in economics. He spent 9 years as a Registered Representative with Prudential Financial where he specialized in estate, business and personal planning. He entered the wholesale distribution channel as an external wholesaler where his success continued for several more years training hundreds of advisors in advanced planning concepts including estate planning, business continuation planning and strategic retirement income planning. Since that time, he has earned the top spot in the bank distribution channel where he was consistently a multi-million dollar producer. Throughout his career, he has received many financial industry awards, and has earned financial industry designations. He earned his fellowship in the Life Underwriting Training Council(LUTCF) from the American College, his Certified Fund Specialist(CFS) designation from the Institute of Business and Finance, as well as the Certified Retirement Counselor(CRC) designation from the International Foundation for Retirement Education. He has received the National Sales Achievement Award, National Quality Award and qualified for multiple business conferences nationally and has received Awards of Excellence and Awards of Honor, both industry awards of distinction. He is currently enrolled at the U of M pursuing a degree in Multi-Disciplinary Studies and MBA. Rob's education, training and experience, prior to joining RIA Registrar, give him a unique awareness of all facets of the investments and insurance industry enabling him to not only understand the challenges faced by producers of today, but the value gained by becoming the advisor of tomorrow.Back to the top
After attaining a bachelor's degree from the University of Wisconsin – Eau Claire with a major in finance, Mark started his career in the financial services industry in 2007 with Principal Financial Group where he worked in the back office and assisted Midwest territory financial advisors with compliance regulations and FINRA client filing requirements. He later transitioned to a CPA firm and worked with financial advisors and helped them incorporate tax services into their current services offerings. In addition to serving as Vice President of Marketing for RIA Registrar, Mark alsoserves as a registered principal for an independent broker dealer and RIA firm and holds his Series 7, 66, 24, and 53. In this role, he supervises registered reps across the country and enforces FINRA and SEC rules, advertising review, and monitors day to day activities of registered reps. In addition, he coaches reps on marketing and helps them bring a balanced set of solutions to their clients by facilitating relationships between advisors and wholesaling partners from mutual fund, managed money, and life insurance product lines.
With his education and business experience in the securities industry, Mark has an exceptional knowledge base and unique understanding of the industry rules and regulations that independent advisors are faced with today.Back to the top
David offers over 15 years of sales, marketing, and management experience. David began his financial services career with AXA Advisors, where he built a personal practice through networking with previous business contacts. Then, as Regional Sales Manager for RiverSource Annuities (a subsidiary of Ameriprise Financial), David worked closely with financial advisors helping them to grow their business. As a product expert, he provided case consultation on variable and fixed annuity sales opportunities. Additionally, he coached advisors on marketing and helped advisors bring a balanced set of solutions to their clients by facilitating relationships between advisors and wholesaling partners from mutual fund, managed money, and life insurance product lines. Mostl recently he worked with GWG Life, a private equity firm, where he helped with the development of a wholesaling unit to distribute a structured investment product.
David holds a Bachelors of Arts Degree from the University of Minnesota, Morris where he majored in History. He has attained his Series 7, 66, and 24 registrations and maintains a Life, Health and Variable Annuity License in the states of Minnesota and California.Back to the top
Mike Jechorek, Vice President of Marketing joined RIA Registrar in 2011. Mike has been in sales and marketing for over 25 years. He started his sales career in the health and fitness industry and transitioned into residential and commercial real estate sales.
After transitioning from real estate sales into financial services Mike found his niche working with advisors helping them develop their practices with sales solutions and strategies. Mike’s unique and wide ranging skill-set has enabled him to successfully contribute in a variety of ways to help the advisors he works with excel in generating and maximizing their sales with prospects and clients.
Mike holds his associate degree and is currently working towards his Series 65. Mike has received national recognition for sales volume and boasts his extensive experience in independent sales and management to help advisors transition to independence.Back to the top
Nick Stovall CPA, MBA boasts an extensive background in accounting, finance and investments. With over 20 years of experience, he brings decades of private industry accounting, public accounting, business taxation, IRA taxation, technical taxation, tax law and tax policy knowledge to the organization. Nick also holds his series 7 and 66 as well as his life and health license. With an in-depth knowledge of the financial services industry and solid understanding of the complex demands of diverse business settings, his experience provides an invaluable perspective on the intricate relationships between tax and business issues.
During his tenure in the private industry sector, Nick served as the chief financial officer for Glenn Corporation and E Energy Adams. He has also consulted in the public sector serving individuals and businesses in the areas of financial and tax planning. Nick was an instructor with National American University, teaching upper division accounting courses and remains a mentor for aspiring accountants in the Twin Cities area.
Nick earned the Masters of Business Administration in Accounting from the University of St. Thomas and a Bachelor of Science in Finance where he graduated with distinction. In addition, he attended Carlson School of Management at the University of Minnesota for the Masters of Business Taxation.
Nick remains active in the accounting industry and is a member of the American Institute of Certified Public Accountants (AICPA), Minnesota Society of Certified Public Accountants (MnCPA) and the Institute of Management Accountants (IMA).Back to the top
Walter Costenbader has over 20 years experience in compliance and business management in the broker/dealer and investment advisor arenas. Currently, Mr. Costenbader is a Senior Compliance Consultant for small and large, international financial services firms. Prior to this, he formed and served as Chief Compliance Officer for the broker/dealer and investment advisor subsidiary of Webster Financial Services ("WBS" on the NYSE). Before joining Webster, Mr. Costenbader started a broker/dealer and investment advisor subsidiary of CIGNA Corp, and served as its Chief Operating Officer and Chief Compliance Officer. He has a BA in Education, and received CFP designation after attending Boston College. He also serves as an active NYSE Arbitrator. Walter currently conducts the monthly webinar training and serves as the Chief Compliance Consultant for RIA Registrar, LLC.Back to the top
Mr. Kessel specializes in business law, including the corporate finance, private equity, venture capital, mergers & acquisitions, financial services industry laws and company law. He has been a corporate, securities and transactional lawyer and compliance professional in the financial services industry for the past 16 years. During that time, Mr. Kessel has served in various executive, legal and compliance roles for a multitude of corporations and trust companies, including investment advisers, investment companies, broker/dealers, banks, investment banks, insurance agencies, stock exchanges and securities clearing and depository institutions, as well as other financial service providers. He has spoken at legal and compliance conferences, as well as for company sponsors, regarding banking, investment management and broker/dealers activities. He has lectured in Europe, the Middle East and the United States on topics such as Cross Border Investment Advisory Compliance Matters, International Broker/Dealer Legal, Compliance and Operational Matters, International Company Restructuring, Dispute Resolution Strategies and International Banking Risk Management Program. He has published articles in business law, including articles on (i)International Broker/Dealer and Investment Banking Strategies and (ii) Essential Considerations for International, Unregistered Broker-Dealers, Investment Companies, Investment Advisers and Investment Banks. Mr. Kessel has managed and motivated teams of lawyers, compliance, operations, risk management, sales and supervisory personnel. As somebody who has managed firms himself, Mr. Kessel has practical experience in analyzing issues, providing legal and business solutions and implementing those solutions. He has worked both domestically an internationally. He retains the Financial Industry Regulatory Authority (“FINRA”) Series 4, 7, 24 & 53 registrations applicable to various financial products supervision and sales, as well as the North American Securities Administrators Association Series 65 registration for investment advisory activities. He has served as a member of the FINRA District Committee and as an FINRA Hearing Panel participant. Mr. Kessel also serves as an industry arbitrator for FINRA. He retains the designation of Investment Adviser Certified Compliance Professional. Keith has his Bachelor of Science: University of Maryland, College Park, Maryland Juris Doctor: Temple University School of Law, Philadelphia, Pennsylvania. He also attended: London School of Economics and Political Science Drexel University University of Helsinki. His practice areas include: Corporate Finance, Private Equity, Venture Capital, Mergers & Acquisitions, Financial Industry, Company Law & Arbitration. Keith currently serves as a consultant providing regulatory and legal counsel for RIA Registrar, LLC.Back to the top