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.
Lisa Doherty
Director of Securities Operations and OSJ Branch Manager
888-613-5456
Lisa Doherty serves as the Director of Securities Operations and Senior OSJ Branch Manager for the Securities Support Division.
Lisa Kennedy
OSJ Branch Manager
888-613-5456
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 Carmichael
OSJ Branch Manager
888-613-5456
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...
Dawn Jerrard-Johnson
Securities Operations Specialist
888-613-5456
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
Virtual Admin
888-613-5456
Brittany Raymond currently serves as the Collective Financial Group Virtual Admin, and also is cross trained with the Securities Support Division Processing Team.
Candice Engstrom
Securities Support Analyst
888-613-5456
Candice specializes in assisting and also training advisors and support staff in business processing, paperwork, and general business related issues.
Amy Hamilton
OSJ Branch Manager
888-613-5456
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
Virtual Admin
888-613-5456
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.
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