Thomas Robert Ohara
Investment adviser representative at Principal Securities, Inc.
12 yearsExperience
1 stateRegistered in
$17BFirm assets
28 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- Piprude FinancialJan 2026 to now
- Principal Securities, Inc.Dec 2025 to now
- Principal Life Insurance CompanyDec 2025 to now
- One River Asset ManagementOct 2023 to Dec 2025
- Ernst & YoungFeb 2022 to Oct 2023
- PricewaterhousecoopersAug 2018 to Feb 2022
- Student At Tufts UniversitySep 2014 to Aug 2018
Exams passed
- Series 66 · Uniform Combined State Law2026
State registrations
Registered as an investment adviser representative in 1 state (MN).
Principal Securities, Inc.
$17BAssets managed
51,941Clients
1,464Advisers
28 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 8196277
- Firm CRD
- 1137