Kathryn “Kat” Miller is a Bates Consulting and Testifying Expert and a Co-Founder and Managing Partner of TRADEliance, a boutique consulting firm. She has 20 years of experience working for small and large firms, including both introducing and self-clearing firms with institutional and retail customers. Her expertise specializes on the trade desk and the lifecycle of a trade. Throughout her career, she has created strategic and efficient processes to achieve compliance with the rules and regulations for trading and operations.
Her strength in regulatory comprehension has led to her success in creating operational processes and procedures. Her expertise in handling the regulatory aspects around the trade desk can help her assist both counsel and clients in evaluating the support built around a trade desk for broker-dealers. This includes but is not limited to systems, supervisory reviews, trading or operational procedures, FINRA and SEC inquiries and examinations, order/trade blotter requirements and functionality, client facing disclosures, non-financial regulatory reporting, order handling and best execution reviews, and data validation for key functions around the trade desk.
Kat strives to promote education and resources regarding trading regulation. Prior to consulting, she co-founded a local networking group, STRONG (St Louis Trading Regulation and Operations Networking Group). This group created events, including Trading Operations and Compliance Roundtables. Since founding her consulting firm, she has continued to host regional trading operations and compliance roundtables in multiple locations throughout the country. These events promote working through regulatory hurdles and sharing best practices regarding trade desk and support regulation. Her firm also hosts virtual panels, where they educate and share best practices to participants about a regulatory hot topic. She also is a board member and current president of the Security Traders Association of St Louis (STASL).
Kat is a consultant and subject matter expert in these Practice Areas and Services:
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Securities and Financial Services Litigation & Consulting
- Alternative Investments
- Asset Backed Securities (ABS)
- Broker Dealer (BD)
- Callable Yield
- Capital Markets
- Closed End Funds
- Complaints
- Complex Products
- Corporate Bonds
- Corporate Debt
- Corporate Governance
- Distressed Securities
- Equities
- ETFs
- Fixed Income
- High Yield Bonds
- Industry Standards
- Insider Trading
- Introducing Firm/Clearing Firm Relationship
- Market Manipulation
- Mortgage-Backed Securities (MBS)
- Municipal Securities
- Municipal Trading and Underwriting
- Mutual Funds
- Operations
- Preferred Securities
- Prime Brokerage
- Private Placements
- Puerto Rican Bonds
- Risk Management
- Structured Products/Structured Notes
- Supervision
- Trade Processing
- Trading
- Unauthorized Trading
- Underwriting
- Data Analyses and Analytics
- Regulatory and Internal Investigations
-
BD-RIA Compliance
- Broker Dealer Compliance Reviews
- Risk Assessments
- Supervision Reviews
Credentials
EXPERIENCE
Bates Group LLC, Consulting and Testifying Expert, 2026 – Present
TRADEliance LLC, Co-founder, Consultant, and Managing Partner, Maple Valley, WA, 2022 – Present
Stifel, Director of Fixed Income Trading Operations, Regulation and Trade Operations Analyst II, St. Louis, MO, 2017 – 2022
City Securities Corporation, Trading Operations and Compliance, Indianapolis, IN, 2010 – 2017
Charles Schwab, Registered Representative, Resolution Manager, and Acting Team Manager, Indianapolis, IN, 2006 – 2010
Capital Bank and Trust Company-American Funds, Retirement Account Representative, Indianapolis, IN, 2005 – 2006
EDUCATION
Bachelor of Arts (BA), Indiana University
PROFESSIONAL QUALIFICATIONS/LICENSING
FINRA Licenses 7, 63, 9, 10, 24, and 99
PROFESSIONAL AFFILIATIONS
- President, Security Traders Association of St Louis (STASL)
- Co-creator/organizer, St. Louis Regulation and Operations Networking Group (STRONG) Roundtables