Thomas Robert Ohara

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2023 → 12/2025
  One River Asset Management
  Stamford, CT
• 02/2022 → 10/2023
  Ernst & Young
  Austin, TX
• 08/2018 → 02/2022
  Pricewaterhousecoopers
  Chicago, IL
• 09/2014 → 08/2018
  Student At Tufts University
  Medford, MA
• 12/2025 → Present
  Principal Life Insurance Company
  Minnetonka, MN
• 12/2025 → Present
  Principal Securities, Inc
  Minnetonka, MN
• 01/2026 → Present
  Piprude Financial
  Minnetonka, MN

Other Businesses

**PIPRUDE FINANCIAL (DBA) POSITION: Financial Advisor NATURE: Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 6 START DATE: 01/16/2026 ADDRESS: 11100 Wayzata Blvd, Suite 405, Minnetonka MN 55305, United States DESCRIPTION: Marketing purposes. **FIXED INSURANCE POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 01/16/2026 ADDRESS: 11100 Wayzata Blvd, Suite 405, Minnetonka MN 55305, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. **MASH BASEBALL CLUB POSITION: Baseball Coach NATURE: Youth baseball coach INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 02/15/2026 ADDRESS: 6510 130th St, Savage MN 55378, United States DESCRIPTION: Youth baseball coach at a baseball facility in Savage, MN. I will be assisting kids with hitting, pitching and fielding to help them improve as baseball players. This is a part time activity. **CAIA MINNESOTA ASSOCIATION POSITION: Executive Committee Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/18/2026 ADDRESS: 80 S 8th St, Minneapolis MN 55402, United States DESCRIPTION: I am invited to join the CAIA Minnesota Association as an Executive Board Member. The Chartered Alternative Investment Analysts (CAIA) Association is a nationwide Association. The Minnesota Chapter launched in October 2019. The chapter seeks to provide the CAIA Members, Candidates, and alternative industry professionals of the Twin Cities area with a community built on four key tenets: development, diversity, insight, and visibility.

Exams

• S66 Uniform Combined State Law Examination
  2026-01-10

Other Names

• Tommy Ohara
• Thomas O'HAra