1. R. Thomas Smith, Vice President-Head of Global Firm Relations
678-491-2998
rts45@icloud.com
www.linkedin.com/in/tomsmith16
EXECUTIVE SUMMARY
Strategic leader and team builder who consistently delivers profitability and results in the development,
marketing, sales, and distribution of global financial products. Expertise in every aspect of the retirement plan
marketplace. Respected for being a thought leader, change agent and builder of top performing teams and cultures.
Recognized for driving multi-billion dollar revenue in aggressive markets. Cultivator of key relationships.
CORE COMPETANCIES
Executive Leadership – Business and Financial Acumen – Financial Products and Services
Global Markets Institutional Business – High Level Consultation and Strategy Development – Corporate Sales Presentations
Broker Dealer Relationships – Talent Development – Client Acquisition and Retention – Strategic Partnerships
MOST SIGNIFICANT ACHIEVEMENTS
 Vice President - Head of Global FirmRelations,responsiblefor overseeing the global clientrelationship acrossPrincipal.
Penetrating the C-suite, engaging key decision makers and facilitatinga best-in-class clientexperience.
 Led 45 offices with over 100 sales reps,50 internal wholesalers, a team of five regional vicepresidents and specialists
supportingPFG’s “Total Retirement Suite” of products, including institutional sales,defined benefit, tax exempt, non-
qualified and third party administration.
o Achieved both assetand revenue targets for small,midsize,largeand jumbo plan sizes.
 Author of “Successful Franchise”business model;a strategic model implemented throughout Retirement and Investor
Services (RIS).
 Designed and successfully implemented a new compensation system resultingin 100% retention of targeted employees.
 Contributed to the evolution of Principal into several new distribution channels,includingwire-houses,regional broker
dealers,RIA firms,payroll companies, Third Party Administrator’s and the Taft-Hartley market.
 Developed sales trainingcurriculum;“Starting Strong, BuildingProficiency,AchievingExcellenceand Leadership”; Key
contributor trainingthe sales and serviceteam’s resultingin sellingover $10 billion in new business.
 Led and developed three local offices:includinga start-up and takingtwo offices (Seattle and Atlanta) from a lastplace
national ranking to #1 within two years.
PROFESSIONAL EXPERIENCE
Principal Financial Group – 1989 to present
A member of the FORTUNE 500 and NYSE, the Principal Financial Group is a world-wideleader in offering businesses,institutions
and individual clients a widerange of financial products and services.
Vice President - Head of Global Firm Relations – 2015 to present
Provideleadership for the Key Accounts and National Accounts teams representing all Principal Global Investor (PGI) and Principal
Financial Group (PFG) capabilitiesfor Institutional,DCIO/IO,Retail Funds, Full Service,NQ, Annuities, etc., includingfirms in
Consulting,Insurance,Broker Dealer (Wires),Bank Trust, Bank BD’s, RIA’s, SpecialistFirms,Platforms, Independents, and TAMP’s
(Turn Key Asset Management Programs).
 Build on successes,best practices,shared resources and leveragingrelationships (top-down and bottom-up) to give the
team the greatest opportunity to cross-sell and unleash thefull power of Principal products and services.
 Developed a global cross-divisional coveragemodel.
 Accountable for oversight of the global clientrelationship,penetratingthe C-suite,engaging key decision makers and
facilitatinga best-in-classclientexperience.
 Leverage the holistic view of firm to firm relationships.
Thomas Smith – Page 2

2. Vice President – National Sales Director, Retirement and Investor Services – 2013 to 2015
Led 45 offices,150 plus sales reps,50 plus internal wholesalers,and a team of five regional vicepresidents and productspecialists
for institutional sales defined benefit, not for profit,non-qualified and third party administration.
 Provided leadership thatcontributed to the achievement if both AUM and revenue targets for small,midsize,largeand
jumbo plan sizes.
 Directed the day-to-day management activities and long-term growth initiatives includingsales,marketingand business
 Led or served as a member of several strategic committees including Retirement and Investment OperatingCommittee,
FinanceCommittee, Distribution and MarketingCommittee, ProductCommittee and Investment Solutions Committee that
are focused on development and execution of strategic business plans.
 Contributed to the evolution into several new distribution channels thattoday accountfor over 50% of sales including
wirehouses,regional B/D’s, RIA firms,payroll companies,TPA’s and the Taft-Hartley market.
 Developed and trained the sales presentation team that played an integral roleis sellingover $10 billion in newbusiness.
 Collaborated with internal and external partners to develop and implement the “play book” for executing corporate
initiativesand the local level.
 Worked with CIMB-Principal in Malaysiato implement business and sales strategy.
Regional Vice President, Retirement and Investor Services – 2007 to 2013
Provided leadership and direction to multiplePFG sales offices in theSoutheast and Northeast Regions
 Led 11 offices in the Northeast Region for sales goals including P&Land total retirement suite of products.
 Responsiblefor PFG defined benefit and not for profit national results.
 Led 13 offices in the northeast region.
 Created and implemented the “Why Do Business with Principal?”presentation,a comprehensive guide for presenting the
PFG story in a way that benefits the advisor theclientand their employees.
Sales Vice President, PFG Atlanta – 2002 to 2007
Led sales,serviceand supportstaff sellingthe total retirement suiteof PFG products for one of the fivetier 1 regions.
 Implemented an advisor development and growth strategy. Led the team in every stage acquiringnewbusiness and
retention. From the presentation prep, implementation and ongoing education.
 Increased national rankingof the Atlanta region from #37 to #1 within two years.
 Named PFG’s inaugural “ImpactPlayer of the Year” in 2003 for significantly impacting leadership,change,growth and
development.
Sales Vice President, PFG Seattle – 1998 to 2002
Sole ONA employee chosen to lead a PFG office.
 Took over leadership of an office with a national rankingof 36 and within a year the officehad reached number one
measured by new plan count.
EDUCATION & EXECUTIVE TRAINING
James Madison University – BA in Marketing
Darden – Managing Individual and Organizational Change, Leading for High Performance
Wharton – Financial Accounting for Non-Financial Managers
Korn Ferry – Business Unit Leader Development
LICENSES
Series 7, 24, 65 and 63.
COMMUNITY AND ORGANIZATION INVOLVEMENT
Richmond Association of Life Underwriters – Past President
Principal Charity Classic – Volunteer
United Way – Volunteer
Fellowship of Christian Athletes