Michelle Stockman has been Chief Compliance Officer of Integrity Alliance since April 2026, is a control person of the firm and directly owns under 5% of it.
Integrity Alliance, LLC is an Urbandale, IA firm with $5.41B under management, 10,885 clients and 322 advisers across 129 offices, as of its May 2026 filing.
Michelle Stockman’s longest registration was 8 years at Principal Asset Management (2017–2026). Before joining Integrity Alliance in 2026, Michelle Stockman was registered through Principal Asset Management and DMKC Advisory Services, LLC.
- Integrity Advisory SolutionsAlso current– present · under a yearUrbandale, IA · Adviser representative · Firm CRD 288817
- Principal Asset Management– · 8 yearsDes Moines, IA · Adviser representative · Firm CRD 109002
- DMKC Advisory Services, LLC– · 4 yearsDes Moines, IA · Adviser representative · Firm CRD 145112
- Commerce Wealth Advisers, LLC– · 1 yearClive, IA · Adviser representative · Firm CRD 144449
- Princor Financial Services Corporation– · 3 yearsDes Moines, IA · Adviser representative · Firm CRD 1137
Investment adviser representative registrations
Michelle Stockman is registered as an investment adviser representative in Iowa, since April 2026.
- IowaSince 24 April 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 30 | NFA Branch Manager Examination | 27 April 2021 |
| Series 3 | National Commodity Futures Examination | 28 September 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 27 | Financial and Operations Principal Examination | 14 August 2012 |
| Series 53 | Municipal Securities Principal Examination | 13 March 2009 |
| Series 4 | Registered Options Principal Examination | 8 April 2008 |
| Series 66 | Uniform Combined State Law Examination | 13 November 2007 |
| Series 24 | General Securities Principal Examination | 18 September 2007 |
| Series 7 | General Securities Representative Examination | 9 July 2007 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 5 August 2005 |
- Name
- Compliance Officer Examination
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- NFA Branch Manager Examination
- Name
- National Commodity Futures Examination
- Name
- Securities Industry Essentials Examination
- Name
- Financial and Operations Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Michelle Renee Stockman
- CRD
- 5010490
- Firm
- Integrity Alliance · CRD 139627
- Role
- Chief Compliance Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Michelle Stockman work?
Michelle Stockman has been Chief Compliance Officer of Integrity Alliance, LLC since April 2026, and is a control person of the firm.
Is Michelle Stockman a financial advisor?
Yes. Michelle Stockman has a current investment-adviser registration in Iowa, through Integrity Alliance since April 2026.
How many years of experience does Michelle Stockman have?
Michelle Stockman has 19 years in the financial industry, since October 2006, across 6 adviser firms.
What exams has Michelle Stockman passed?
Michelle Stockman has passed 12 licensing exams: the Series 6, Series 7, Series 24, Series 66, Series 4, Series 53, Series 27, Series 3, Series 30, Series 14, Series 52TO and Series 99TO. The earliest, the Series 6, was passed in August 2005. FINRA credited Michelle Stockman with the SIE, which began in October 2018.
Where did Michelle Stockman work before Integrity Alliance?
Before Integrity Alliance, Michelle Stockman was registered through Principal Asset Management, May 2017 to April 2026; DMKC Advisory Services, LLC, July 2012 to May 2017; Commerce Wealth Advisers, LLC, January 2011 to July 2012; Princor Financial Services Corporation, November 2007 to December 2010.
Is Michelle Stockman registered with FINRA?
Yes. Michelle Stockman has a current broker registration, under CRD 5010490.
Source: FINRA BrokerCheck
How can I verify Michelle Stockman’s record?
Search CRD 5010490 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Michelle Stockman’s full registration record.
- Brian AukesPresident
- Andrea BakerChief Financial Officer/FINOP
- Christopher Aaron MerlaHead of Operations
- Belma MujdzicOperations Director
- Andrew OsbyChief Investment Officer