Niva WealthLet’s talk

Simon McKay

Strategic Advisor to CEO at Principal Global Investors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Simon McKay is Strategic Advisor to CEO of Principal Global Investors, LLC, a Des Moines investment adviser managing $428B. Simon McKay 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
Strategic Advisor to CEO
Control
Simon McKay is a control person of Principal Global Investors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Simon McKay has held the filed role since November 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 · 2018
  2. Passed Series 24 · 2016
  3. Passed Series 7 · 2011
  4. Passed Series 6 and Series 63 · 2002

Registrations and exams

Broker registration; no current adviser registration. Simon McKay has passed 5 qualifying exams.

Examinations

Series 638 October 2002
Name
Uniform Securities Agent State Law Examination
Series 2421 September 2016
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 724 March 2011
Name
General Securities Representative Examination
Series 612 August 2002
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Simon Alexander McKay
CRD
4550744
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 Simon McKay work?

Simon McKay has been Strategic Advisor to CEO of Principal Global Investors, LLC since November 2025, and is a control person of the firm.

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

Does Simon McKay have a current investment-adviser registration?

Simon McKay has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Simon McKay passed?

Simon McKay has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 24 and SIE. The earliest, the Series 6, was passed in August 2002.

Source: IAPD individual record, checked 17 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
  • Barbara Wenig
    Chief Business Officer
  • Brant Wong
    Head of Retirement Solutions

Sources

  1. IAPD individual record, CRD 4550744. 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 17 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 Simon McKay 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.