MJ
Melissa A. Jones
PRINCIPAL SECURITIES
Menasha, WI
Some features on this profile are disabled
CRD#: 4863240
MJ
Professional summary
Melissa Ann Jones, who also goes by Melissa A Jones, Melissa Ann Van Veghel, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Menasha, Wisconsin.
Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Melissa has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Melissa A Jones | Melissa Ann Van Veghel
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
TENACITY ADVISORY GROUP POSITION: Affiliated Advisor NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/17/2022 ADDRESS: 566 Red Bird Circle, DePere WI 54115, United States DESCRIPTION: Focus on company sponsored retirement plans. Assistance to plan sponsors and participants- with documents, administration, benchmarking ongoing education, financial wellness.
CRS (Client Relationship Summary) - RIA
Click below to view Melissa Ann Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Melissa Ann Jones's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 21, 2024 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Menasha, WI
Current
May 10, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
April 8, 2024 - April 24, 2024
PACKERLAND BROKERAGE SERVICES, INC.
RIA
CRD#: 37031
WAUSAU, WI
Past
April 8, 2024 - April 24, 2024
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
WAUSAU, WI
Past
January 19, 2024 - March 28, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
DE PERE, WI
Past
January 19, 2024 - March 28, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
DE PERE, WI
Past
October 14, 2022 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
DE PERE, WI
Past
October 14, 2022 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
DE PERE, WI
Past
August 1, 2022 - October 14, 2022
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
Wauwatosa, WI
Past
June 1, 2022 - October 14, 2022
IFP SECURITIES, LLC
BD
CRD#: 297287
Wauwatosa, WI
Past
November 18, 2021 - June 10, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
MILWAUKEE, WI
Past
July 19, 2019 - November 12, 2021
PAYCHEX SECURITIES CORPORATION
BD
CRD#: 39733
ROCHESTER, NY
Past
May 4, 2018 - July 10, 2019
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Appleton, WI
Past
January 8, 2018 - July 10, 2019
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
HARRISON, NY
Past
August 9, 2014 - December 31, 2017
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
January 26, 2005 - December 16, 2005
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/2/2024)
RR
Arkansas(7/17/2025)
RR
California(5/8/2025)
RR
Colorado(4/23/2025)
RR
Florida(4/25/2025)
RR
Georgia(8/20/2025)
RR
Illinois(5/10/2024)
RR
Indiana(4/4/2025)
RR
Iowa(5/13/2025)
RR
Kansas(5/10/2024)
RR
Massachusetts(9/9/2025)
RR
Michigan(5/10/2024)
RR
Minnesota(5/10/2024)
RR
Missouri(5/10/2024)
RR
New Jersey(4/4/2025)
RR
New Mexico(9/18/2025)
RR
New York(10/23/2025)
RR
Ohio(4/23/2025)
RR
Pennsylvania(7/25/2025)
RR
South Carolina(9/2/2025)
RR
Texas(1/27/2025)
IAR
Texas(1/27/2025)
RR
Virginia(3/7/2025)
RR
Wisconsin(5/10/2024)
IAR
Wisconsin(5/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
