Michelle Stockman Cfp Cams Email & Phone Number | Ms. Stockman is the Chief Compliance Officer of Principal Funds Distributor and Director, Compliance for Principal Asset Management. Ms. Stockman joined PFD in 2017 and became CCO in 2018. Ms. Stockman is responsible for managing the overall distributor broker dealer compliance program and manages certain components of the investment adviser compliance program. Ms. Stockman previously served as CCO, FinOP, and AML officer (2012-2017) at D.M. Kelly & Company, a full service retail broker dealer and investment adviser. She has 20 years of financial services experience, including 11 years collectively as a Chief Compliance Officer. Ms. Stockman graduated magna cum laude from Northwest Missouri State University with a degree in Business Management and subsequently earned her MBA in Finance and Business Management from the University of Colorado. Ms. Stockman holds the Series 3, 4, 6, 7, 24, 27, 30, 53, 66, and 99 licenses. She is also a Certified Financial Planner (CFP), LOMA Fellow, Life Management Institute (FLMI), Certified Anti-Money Laundering Specialist (CAMS), and Certified Regulatory and Compliance Professional (CRCP).

Michelle Stockman Cfp Cams

Ms. Stockman is the Chief Compliance Officer of Principal Funds Distributor and Director, Compliance...
Des Moines, Iowa, United States

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Michelle Stockman Cfp Cams’s Email mstockman@dmkc.com

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Michelle Stockman Cfp Cams’s Location Des Moines, Iowa, United States

Michelle Stockman Cfp Cams’s Current Industry Principal Funds Distributorprincipal Asset Management

Michelle Stockman Cfp Cams’s Prior Industry Dm Kelly | Dewaay Financial Networkcommerce Wealth Advisers | Principal Securities | Brokers International

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Work Experience

Principal Funds Distributorprincipal Asset Management

Chief Compliance Officer/Director - Compliance

2021-03-01 00:00:00 - Present

Dm Kelly

Chief Compliance Officer

2012-07-01 00:00:00 - 2017-04-01 00:00:00

Dewaay Financial Networkcommerce Wealth Advisers

Operations Team Lead/Chief Compliance Officer

2010-12-01 00:00:00 - 2012-07-01 00:00:00

Principal Securities

Broker Dealer Counselor III - Compliance

2007-05-01 00:00:00 - 2010-12-01 00:00:00

Brokers International

Product Development/Marketing Assistant

2006-04-01 00:00:00 - 2007-05-01 00:00:00

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FAQ About Michelle Stockman Cfp Cams

Michelle Stockman Cfp Cams is located at
Des Moines, Iowa, United States

Michelle Stockman Cfp Cams is a Ms. Stockman is the Chief Compliance Officer of Principal Funds Distributor and Director, Compliance for Principal Asset Management. Ms. Stockman joined PFD in 2017 and became CCO in 2018. Ms. Stockman is responsible for managing the overall distributor broker dealer compliance program and manages certain components of the investment adviser compliance program. Ms. Stockman previously served as CCO, FinOP, and AML officer (2012-2017) at D.M. Kelly & Company, a full service retail broker dealer and investment adviser. She has 20 years of financial services experience, including 11 years collectively as a Chief Compliance Officer. Ms. Stockman graduated magna cum laude from Northwest Missouri State University with a degree in Business Management and subsequently earned her MBA in Finance and Business Management from the University of Colorado. Ms. Stockman holds the Series 3, 4, 6, 7, 24, 27, 30, 53, 66, and 99 licenses. She is also a Certified Financial Planner (CFP), LOMA Fellow, Life Management Institute (FLMI), Certified Anti-Money Laundering Specialist (CAMS), and Certified Regulatory and Compliance Professional (CRCP).

Michelle Stockman Cfp Cams currently works in the Principal Funds Distributorprincipal Asset Management |

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Michelle Stockman Cfp Cams has prior
experience in the following industries:
Dm Kelly | Dewaay Financial Networkcommerce Wealth Advisers | Principal Securities | Brokers International

Michelle Stockman Cfp Cams has the following professional experience:
Principal Funds Distributorprincipal Asset Management | Dm Kelly | Dewaay Financial Networkcommerce Wealth Advisers | Principal Securities | Brokers International