We’ll help you operate in good standing so you can run a profitable financial practice.

People have some pretty funny ways of differentiating the front office from the back office. For some, it is as simple as the front office makes the money while the back office makes sure everything is in order. Others compare the two to a sports team made up of front-office star players and back-office journeymen players — the journeymen do the work that allows the stars to shine.

At RIA Registrar, we are OK with being the supporting players, making it possible for our clients to make names for themselves. We work quietly in the background, while making sure everything is in order for you and your firm to shine.

We take the time to share our knowledge with our clients so that they have the best registration support, training, and compliance service possible. With our help, the entire process of setting up a firm and properly maintaining it is a little less overwhelming.

RIA Registrar brings a wealth of knowledge and experience to you garnered from years of experience working in RIA compliance. We come from various business backgrounds, such as law firm administration, financial planning, licensing, insurance, investments and regulatory fields. We are all devoted to making the registration process and compliance requirements as smooth as possible.

Meet our dedicated team.

Sheri Mushel

President

Sheri Mushel been a key player in growing and operating successful businesses since 1989. Sheri’s educational background includes a degree in business administration, industrial relations and economics. She is also a registered notary.

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Amy Coulter

Director of Operations

Amy Coulter joined RIA Registrar in January 2011 with a background in the legal field as a legal secretary and administrative assistant. She is a graduate of Hamline University where she received a Bachelor of Arts in Business Administration.

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Heather Simmons

Director of Compliance

Heather has extensive experience with all facets of compliance. Heather holds the series 6, 7, 24 and 63 FINRA registrations and is a graduate of the College of St. Catherine in St. Paul, Minnesota. She holds a degree in elementary education.

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Debbie Bluhm

Director of Compliance

Debbie Bluhm has worked in the securities industry since 1994. Debbie holds the series 7, 24, 63, and 65 FINRA registrations, is licensed in the State of Minnesota for life, health, and variable insurance and annuity contracts, and has a degree in psychology from the University of Minnesota.

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Linnea Rounds

Director of Compliance

Linnea Rounds started in the financial services industry in 2001. After graduating from Augsburg College in Minneapolis, she began her career as an advisor with Thrivent Financial and then spent 10 years supervising financial advisors at Ameriprise Financial. Linnea holds series 7, 24 and 66.

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Rob Sipe CFS, LUTCF

Sr. Vice President

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 has received many financial industry awards, and has earned financial industry designations, including his Certified Fund Specialist (CFS) designation from the Institute of Business and Finance.

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Mike Jechorek

Vice President of Marketing

Mike has been in sales and marketing for over 25 years and holds his associate degree and 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.

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Walter Costenbader

Compliance Consultant

Walter Costenbader has over 20 years of experience in compliance and business management in the broker-dealer and investment advisor arenas. Walter currently serves as the chief compliance consultant for RIA Registrar, LLC.

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Sarah Banken

Registration and Compliance Associate

Sarah Banken joined RIA Registrar in April of 2019, having been in the securities industry since 2010. Sarah holds the series 6, 7, and 63 FINRA registrations and has a degree in information systems from Drake University.

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Kayla Gow

Registration and Compliance Associate

Kayla joined RIA Registrar in April 2019. She has had several roles within the financial industry, starting as a bank teller. Kayla holds her series 6 and 63 FINRA registrations and an associate’s degree in business marketing and management.

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Mike Farrington

Director of Compliance

Mike Farrington is returning to RIA Registrar, LLC after a brief stint with Gradient Securities, LLC. Mike has been in the securities industry since 2000 and holds the Series 7, 66, 24 and 53 FINRA registrations.

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Matt Przybylski

Director of Compliance

Matt Przybylski is returning to RIA Registrar, LLC after pursuing a career change focused on conducting on-site mock examinations and 206(4)-7 Reviews of Investment Advisors.

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Kim Johnson

Vice President of Sales and Marketing

Kim learned the industry as a Financial Plan Case Designer and RIA Operations Specialist before transitioning to sales and marketing. Kim holds an undergraduate degree in Human Resource Management from the University of Northwestern.

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Katie Grage

Director of Compliance

Katie is a graduate of St. Cloud State University where she received a Bachelor of Arts degree in Film Studies. She enjoys spending her free time outdoors, with her pets, reading, and making crafts.

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