MS
Melissa J. Sivertsen
PRINCIPAL SECURITIES
Des Moines, IA 50312
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CRD#: 5225901
MS
Professional summary
Melissa Jane Sivertsen, who also goes by Melissa Jane Milliken, Melissa Jane Warner, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Melissa has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Melissa Jane Milliken | Melissa Jane Warner
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.
***OUTSIDE INSURANCE. 04/01/2014. SELLING FIXED LIFE INSURANCE. LONG TERM CARE INSURANCE AND DISABILITY THROUGH VARIOUS CARRIERS. CONSUMER CHOICES OPTION POSITION: SCL Provider NATURE: Supported Community Living Provider for my son INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 2 START DATE: 08/01/2022 ADDRESS: 1612 Prairie Ridge Dr, Polk City IA 50226, United States DESCRIPTION: My son has significant health issues and special needs. I have been providing care for him his entire life. When he became an adult we were unable to find a company that would provide services due to staffing shortages. Because of this we switched to a program called Consumer Choices Options which allows us to hire our own care providers. The program is offered through the State, is managed by his CMO, and Veridian Fiscal Solutions is the Financial Management Service that processes the employees and handles payroll. In the event that we cannot find care providers, I provide the care and am compensated for it. This is a better solution for my son than a group home as he has health issues and continuity of care is essential for him. Clay also has CDAC hours in which self care and household duty services may be provided.
CRS (Client Relationship Summary) - RIA
Click below to view Melissa Jane Sivertsen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Melissa Jane Sivertsen'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
July 9, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4019 Ingersoll Ave, Des Moines, IA 50312RIA
BD
CRD#: 1137
Des Moines, IA
Current
October 26, 2006 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4019 Ingersoll Ave, Des Moines, IA 50312RIA
BD
CRD#: 1137
Des Moines, IA
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
Colorado(4/24/2018)
RR
Delaware(7/29/2025)
RR
Idaho(9/22/2025)
RR
Illinois(8/3/2021)
RR
Iowa(10/26/2006)
IAR
Iowa(7/9/2024)
RR
Nebraska(7/24/2025)
RR
Pennsylvania(6/27/2025)
RR
Virginia(11/23/2013)
RR
Wisconsin(8/22/2025)
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Des Moines, IA 50312TRUST BUT VERIFY
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