4840 North River Boulevard Northeast
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
Lisa Doherty serves as the Director of Securities Operations and Senior OSJ Branch Manager for the Securities Support Division.
OSJ Branch Manager
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...
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...
Securities Operations Specialist
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...
Brittany Raymond currently serves as the Collective Financial Group Virtual Admin, and also is cross trained with the Securities Support Division Processing Team.
Securities Support Analyst
Candice specializes in assisting and also training advisors and support staff in business processing, paperwork, and general business related issues.
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.
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.
Candice Engstrom, Sr. Securities Support Analyst (CEngstrom@cgfgpro.com x109):
Dawn Jerrard-Johnson, Securities Operations Specialist (firstname.lastname@example.org x107):
Robin Carmichael, OSJ Branch Manager (email@example.com x106)
Amy Rountree, OSJ Branch Manager (firstname.lastname@example.org x110)
Lisa Kennedy, OSJ Branch Manager (email@example.com x105)
Lisa Doherty, OSJ Branch Manager & Director of Securities Operations (firstname.lastname@example.org)
Brittany Raymond, CFG Virtual Admin Team (email@example.com), main contact for the subscription service offering assistance with: