Broker Check

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

888-484-3778

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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Lisa Kennedy

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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Robin Carmichael

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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Dawn Jerrard-Johnson

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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Brittany Raymond

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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Candice Engstrom

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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Amy Rountree

OSJ Branch Manager

888-484-3778 x110

888-613-5456

arountree@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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Meg Wells-Putz

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 (arountree@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