Lisa Doherty
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. She has been in the securities industry since 2000, holds her MN Life & Health insurance license, series 7, 63, 24 & 53 licenses, and has been managing the Securities Support Division since it was established in 2003. Lisa’s goal is to help advisors compliantly grow and succeed in the securities industry as well as help in easing the burdens associated with the ever changing landscape of the business. She currently serves on the Royal Alliance National Advisory Board, served on the Royal Alliance Central Region Advisory Committee (2018-2021), and is a past Chair and Member of the Transamerica Financial Advisors Compliance Input Committee (2013-2016). Lisa holds Bachelor of Arts degrees in English Literature and Philosophy from Cornell College in Mt. Vernon, IA