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Brant Wong

Head of Retirement Solutions at Principal Global Investors

Broker registration; no current adviser registrationSEC record checked 18 October 2026

1
Past adviser firms
5
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Brant Wong is Head of Retirement Solutions of Principal Global Investors, LLC, a Des Moines investment adviser managing $428B. Brant Wong has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Principal Global Investors

Title on Schedule A
Head of Retirement Solutions
Control
Brant Wong is a control person of Principal Global Investors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Brant Wong has held the filed role since April 2025.

The firm

Principal Global Investors, LLC
Des Moines, IA

Form ADV filed 28 May 2026

$428B AUM8,205 clients337 advisers20 offices

Career on record

Firms and exams, newest first
  1. Passed SIE and Series 24 · 2018
  2. Passed Series 7 and Series 63 · 2015
  3. Jpmorgan Asset Management
    – · 2 years
    New York, NY · Adviser representative · Firm CRD 107038
  4. Passed Series 66 · 2006

Registrations and exams

Broker registration; no current adviser registration. Brant Wong has passed 5 qualifying exams.

Examinations

Series 6316 November 2015
Name
Uniform Securities Agent State Law Examination
Series 6621 February 2006
Name
Uniform Combined State Law Examination
Series 248 November 2018
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 715 July 2015
Name
General Securities Representative Examination

Individual record

Full name
Brant Kajen Wong
CRD
5093714
Firm
Principal Global Investors, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Brant Wong work?

Brant Wong has been Head of Retirement Solutions of Principal Global Investors, LLC since April 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 28 May 2026

Does Brant Wong have a current investment-adviser registration?

Brant Wong has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Brant Wong passed?

Brant Wong has passed 5 licensing exams: the Series 66, Series 7, Series 63, SIE and Series 24. The earliest, the Series 66, was passed in February 2006.

Source: IAPD individual record, checked 18 October 2026

Where was Brant Wong previously registered as an investment adviser?

Brant Wong has past investment-adviser registrations through Jpmorgan Asset Management, March 2006 to June 2008, across 1 firm.

Source: IAPD individual record, checked 18 October 2026

Leadership at Principal Global Investors

  • Kamal Bhatia
    Chief Executive Officer & President
  • Jill Hittner
    Chief Financial Officer
  • Justin Lange
    Chief Compliance Officer
  • George Djurasovic
    General Counsel
  • Todd Everett
    Global Head of Private Markets
  • Michael Goosay
    CIO & Global Head of Fixed Income
  • Todd Jablonski
    CIO & Global Head of Multi-Asset and Quantitative Strategies
  • George Maris
    CIO & Global Head of Equities
  • Kenneth Allen McCullum
    Director
  • Simon McKay
    Strategic Advisor to CEO
  • Barbara Wenig
    Chief Business Officer

Sources

  1. IAPD individual record, CRD 5093714. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Principal Global Investors, LLC, filed 28 May 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Brant Wong or Principal Global Investors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.