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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Melanie Kristin Allen

Advisor at PRINCIPAL SECURITIES, INC.

Wilmington, DE

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Search this name across graphsid dfx:ria:5fed4d48-69f1-59ac-8c64-8e3a9fcbec0d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 5, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PRINCIPAL SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 2, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63|S65
First exam: Jul 2, 1999
First registration: Mar 5, 2008
Dual registered: yes, broker-dealer
Other names: MELANIE KRISTIN OBEIRNE|MELANIE KRISTIN OBEIRNE|MELANIE KRISTIN EDMISTER|MELANIE ALLEN
IAPD individual key: 2900105

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	May 20, 2025	n/a	yes	Wilmington, DE	Current employment
CAPITAL ONE ADVISORS, LLC	Former SEC adviser	Oct 4, 2012	May 18, 2015	no	MCLEAN, VA\|WILMINGTON, DE	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 16, 2012	no	Red Bank, NJ\|Lawrenceville, NJ\|Greenville, DE	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Mar 5, 2008	Jun 1, 2009	no	RED BANK, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CAPITAL ONE ADVISORS, LLC	PRINCIPAL SECURITIES, INC.	May 18, 2015	May 20, 2025	3,655	Firm change after gap	Other
MORGAN STANLEY	CAPITAL ONE ADVISORS, LLC	Feb 16, 2012	Oct 4, 2012	231	Firm change	Wirehouse to new firm
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
May 20, 2025 to presentfactForm ADV
→ CAPITAL ONE ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 4, 2012 to May 18, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 16, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Mar 5, 2008 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.