Brant K. Wong
Professional summary
Brant K Wong, who also goes by Brant Kajen Wong, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Manhattan , New York.
Brant is registered as a RR (Registered Representative) and started their career in finance in 2006. Brant has worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brant K Wong's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 28, 2025 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #2: 888 7th Avenue 25th Floor, New York, NY 10019July 18, 2015 - April 28, 2025
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
March 9, 2006 - June 20, 2008
J.P. MORGAN INVESTMENT MANAGEMENT INC.
February 15, 2006 - March 20, 2007
JPMORGAN DISTRIBUTION SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/28/2025)
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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