Colette Dolan Email & Phone Number

Minneapolis, Mn

Greater Minneapolis-St. Paul Area

The Johnston Group is an independent, registered investment advisory firm.Over 20 years of financial services experience including:• Oversee compliance and operations for SEC registered RIA• Oversee annual compliance inspections, including pre-inspection preparation, on-site annual compliance meetings for all registered personnel and writing final report for independent auditors• Monitor and enforce firm and employee compliance with federal, state and self-regulatory laws and rules and with internal policies.• Perform routine oversight of customer and firm securities and commodities accounts and activities. • Respond to inquiries from firm employees regarding compliance, operations and related issues.

7373 Kirkwood Court, Maple Grove, Mn 55369

• Responsible for day to day compliance oversight and surveillance. • Oversees annual compliance inspections, including pre-inspection preparation, on-site annual compliance meetings for all registered personnel and writing final report for the Broker Dealer.• Oversee compliance and operations for state registered RIA• Monitor and enforce firm and employee compliance with federal, state and self-regulatory laws and rules and with internal policies.• Perform routine surveillance of customer and firm securities and commodities accounts and activities. • Respond to inquiries from firm employees regarding compliance and related issues. • Provide continuing compliance education to branch personnel.NOTE: I am not permitted to receive endorsements or recommendations per Cetera Financial Networks compliance.

7373 Kirkwood Court, Maple Grove, Mn

JRA Financial Advisors and Cetera Advisor Networks, LLC are not affiliated.

Libertyville, Il