Katie Grage

Katie Grage serves as the Director of Compliance at RIA Registrar, bringing more than 20 years of experience in the financial services industry to her role. She joined RIA Registrar in January 2020, leveraging her extensive background in compliance and regulatory oversight to ensure the firm’s operations adhere to the highest standards. Katie’s career in financial services began in 2003, and she spent 12 years at Cetera Investment Services in St. Cloud, MN, where she played a key role as a Principal Review Analyst and Direct Alternative Investments Analyst. In her capacity as a firm principal, she gained in-depth knowledge of compliance areas such as audits, product suitability review, correspondence and advertising, advisory services, and exception reporting. Following her time at Cetera, Katie expanded her experience in compliance through roles as a Surveillance Analyst at Thrivent Financial and as a Compliance Analyst for Gradient Advisors. In these positions, she deepened her understanding of surveillance and compliance monitoring, sharpening her skills in regulatory reporting and risk management. Katie holds a Series 65 FINRA registration, further solidifying her experience in the industry. Katie is a graduate of St. Cloud State University, where she earned a Bachelor of Arts degree in Film Studies. Outside of her professional life, Katie enjoys spending time outdoors with her pets, reading, and indulging in her passion for crafting. With her diverse experience and comprehensive understanding of compliance regulations, Katie plays a vital role in ensuring that RIA Registrar remains in full compliance, contributing to the firm’s continued success and growth.