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Division of Consumer Finance

Division of Securities Management Team


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Lee Kell, Director

Mr. Kell brings a wealth of management, compliance and leadership knowledge, spanning more than 25 years within the financial services industry, to this position. He joined the Florida Office of Financial Regulation in April of 2012, and in July 2017, he was appointed as Director of the Division of Securities. In this role, he is responsible for the overall management and direction of the securities staff, budget and program operations. Mr. Kell has previously served the division as an Area Financial Manager and as Chief of the Bureau of Enforcement. He earned his bachelor’s degree in Accounting from the University of West Florida in 1979.



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Caroline Holmes, Chief, Bureau of Enforcement

Carrie Holmes has been employed with the Florida Office of Financial Regulation for the past 11 years. She held several positions within the Division of Securities, including Financial Administrator, Area Financial Manager for North Florida and Senior Examiner before being promoted in 2017. Prior to joining the OFR, she worked for 12 years in various roles for a national broker-dealer. She is a graduate of Lenoir-Rhyne University with a degree in Business Administration.



Alisa Goldberg
Alisa Goldberg, Chief, Bureau of Registration

Alisa Goldberg has been employed with the Office of Financial Regulation and its predecessor agency for 26 years in various sections. She is actively involved in the North American Securities Administrators Association Investment Adviser Operations Project Group. Ms. Goldberg has been a panelist at various training programs for examiners. She is a graduate of Auburn University with a degree in Business Administration with an emphasis in Finance.



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Stephen Masterson, Chief Counsel

Stephen Masterson joined the Office of Financial Regulation in 2017, bringing decades of civil trial and administrative experience. During his many years in the private practice of law, he worked primarily in the areas of securities fraud, medical malpractice defense, administrative law and appeals. Mr. Masterson has served on the Board of Governors of The Florida Bar, various Bar committees, as executive director of the Academy of Florida Trial Lawyers, and as a Judge of Compensation Claims. He graduated from the Florida State University, obtained his Juris Doctor from South Texas College of Law and his Master of Laws degree from Georgetown University Law Center. He is rated AV Preeminent by Martindale-Hubble.