Securities Support Division
CFG Securities Support Division's Mission Statement: To be a consistent and reliable resource to CFG professionals and staff in providing superior levels of service in securities compliance and supervision.
CFG Securities Support Division's Vision Statement: Proactively partner CFG advisors with our team of highly experienced, skilled, service orientated, and relationship driven individuals dedicated to offer tools, training/educational resources, internal procedures and topic/time relevant communications to help both achieve and ease the compliance burden of the securities business and broker dealer, industry & regulatory requirements.
Director of Securities Operations and OSJ Branch Manager
888-484-3778
888-613-5456
ldoherty@cfgpro.com
Lisa Doherty serves as the Director of Securities Operations and Senior OSJ Branch Manager for the Securities Support Division.
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OSJ Branch Manager
888-484-3778
888-613-5456
lkennedy@cfgpro.com
Lisa joined the SSU Team in January 2019. Lisa has been in the financial services industry for 35+ years and is Series 7, 66 and 24 registered. She has held various management and leadership positions in her prior broker dealers...
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OSJ Branch Manager
888-484-3778
888-613-5456
rcarmichael@cfgpro.com
Robin has been with Collective Financial Group since May 2018. She holds her FL Life, Health & Variable Annuities insurance license, 4, 7, 24, 53 & 63 licenses, and has earned the Chartered Life Underwriter (CLU®) and...
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Securities Operations Specialist
888-484-3778
888-613-5456
djohnson@cfgpro.com
Dawn joined the Securities Support Unit in 2017. Dawn is Series 7 licensed and has been in the financial services industry since 2000. Dawn has an extensive background in brokerage services and was a direct advocate for 25 of the top...
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Virtual Admin
888-484-3778
888-613-5456
braymond@cfgpro.com
Brittany Raymond currently serves as the Collective Financial Group Virtual Admin, and also is cross trained with the Securities Support Division Processing Team.
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Securities Support Analyst
888-484-3778
888-613-5456
cengstrom@cfgpro.com
Candice specializes in assisting and also training advisors and support staff in business processing, paperwork, and general business related issues.
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OSJ Branch Manager
888-484-3778 x110
888-613-5456
ahamilton@cfgpro.com
Amy Rountree joined Securities Support Division in 2021, on the SSD OSJ Branch Manager team, supporting the supervision and office review processes of SSD advisors and their staff.
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Virtual Admin
888-484-3778
888-613-5456
mwellsputz@cfgpro.com
Meg Wells-Putz is a member of our Virtual Admin team. Prior to joining the CFG team, she spent 4 years in the financial sector working with Securities Service Network-Ladenburg Thalman and Advisor Group broker dealers.
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Contact Information
- Securities Support Unit Contacts: main line 888-484-3778
- Business Processing & Paperwork Questions: option 2 or email SSDProcessing@cfgpro.com
- General Questions: option 3
- Compliance Questions: option 4 or email SSDCompliance@cfgpro.com
- Licensing Questions: option 5
- Royal Alliance Home Office Contacts: main line 800-543-6611
Staff Overview
Candice Engstrom, Sr. Securities Support Analyst (CEngstrom@cgfgpro.com x109):
- Paperwork & general questions, issue resolution
- TRS, TRP, and Account Supervision queue questions
- Royal Alliance/Advisor Group systems, websites, etc
- Fields compliance questions and assigns to OSJ as necessary
Dawn Jerrard-Johnson, Securities Operations Specialist (djohnson@cfgpro.com x107):
- Licensing related questions (new rep, new staff, VA insurance appointments, state adds)
- General questions
- Issue resolution
- Fields compliance questions (assigns if/as necessary)
- Royal Alliance/Advisor Group systems, websites, WMP, Net X, etc
- Business continuation and succession planning resource
Robin Carmichael, OSJ Branch Manager (rcarmichael@cfgpro.com x106)
Amy Rountree, OSJ Branch Manager (ahamilton@cfgpro.com x110)
Lisa Kennedy, OSJ Branch Manager (lkennedy@cfgpro.com x105)
- Account Supervision, TRS & TRP transaction/account reviews, approvals, and follow up
- Annual Practice Reviews (OSJ office visits/interviews)
- Compliance related concerns/questions
- Royal Alliance/Advisor Group systems, websites, WMP, Net X, etc
- Other supervision & compliance items; CE follow up, ADV review, OBA review, signage approvals, check review, correspondence review, email review
Lisa Doherty, OSJ Branch Manager & Director of Securities Operations (ldoherty@cfgpro.com)
- OSJ items (noted above)
- Advanced issues
- Securities Support Unit business, staff management, home office liaison for CFG & other branch initiatives
Brittany Raymond, CFG Virtual Admin Team (virtualadmin@cfgpro.com), main contact for the subscription service offering assistance with:
- Provides virtual admin services for subscribers
- Check logging/scanning/processing
