Simon A. Mckay
Professional summary
Simon Alexander Mckay, who also goes by Simon A Mc Kay, Simon Alexander Mc Kay, Simon Alexander Mckay, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in New York, New York.
Simon is registered as a RR (Registered Representative) and started their career in finance in 2002. Simon has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Simon Alexander Mckay's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 21, 2025 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 888 7th Avenue 19th & 25th Floor, New York, NY 10019May 17, 2022 - April 17, 2024
REALBLOCKS PRIVATE SECURITIES, INC.
May 25, 2019 - January 7, 2022
INVESCO DISTRIBUTORS, INC.
May 27, 2015 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
March 28, 2011 - May 4, 2015
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
August 13, 2002 - March 16, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
Red Flags
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