Thomas John Durkin

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

• 12/2000 → 11/2017
  Sagemark Consulting, Inc.
  Hartford, CT
• 11/2017 → 04/2019
  Ubs Financial Services Inc.
  Pittsburgh, PA
• 04/2019 → Present
  Principal Life Insurance Company
  Pittsburgh, PA
• 05/2019 → Present
  Principal Securities Inc
  Pittsburgh, PA

Previous Registrations

• 2018-04-12 → 2019-05-07
  Ubs Financial Services Inc.
  Pittsburgh, PA

Other Businesses

**PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 704 Highpointe Circle, Pittsburgh PA 15220, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal. **HIGHPOINTE II HOMEOWNER'S ASSOCIATION POSITION: Home Owners Association Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 704 Highpointe Circle, Pittsburgh, PA, USA PA 15220, United States DESCRIPTION: I am on my Homeowner's Association. We have 20 townhome units. There are 5 people on this HOA. We have a professional management firm whom we work with. The HOA decides on items like upkeep of the property, landscaping/snow removal, rule violation (ie parking and moving of trash cans after garbage pickup) and pets.

Exams

• S66 Uniform Combined State Law Examination
  2018-04-12
• S65 Uniform Investment Adviser Law Examination
  1997-02-27
• S63 Uniform Securities Agent State Law Examination
  1996-07-09

Other Names

• Thomas John Durkin
• Tom J. Durkin