Summary
Overview
Work History
Education
Skills
Hobbies and Interests
Licensesdesignationstraining
Certification
Timeline
Generic

Ken Kindberg

Rochester,NY

Summary

With over 25 years of experience in the financial industry, I have developed expertise in senior level sales and marketing of investment products such as equities, fixed income, and liquid alternative strategies. I am knowledgeable in mutual funds, exchange traded funds, separately managed accounts, option overlay strategies, private placements, and insurance-based solutions. Throughout career, I have cultivated strong relationships with a diverse range of financial advisors, including independent broker/dealers, registered investment advisors (RIAs), and wire houses. Deep understanding of the industry and effective communication of complex financial concepts have consistently driven sales and delivered exceptional results.

Overview

26
26
years of professional experience
1
1
Certification

Work History

Regional Sales Director

Rock Harbor, LLC
12.2023 - Current
  • Represent the ALPS Advisors and ALPS O’Shares ETF’s and mutual fund managers to Advisors across all channels
  • Partner with private equity, alternative real estate offering at with UBS Financial and Morgan Stanley
  • Year-to-Date 2024 sales tracking at 300+% to 2023 total sales through investment distribution partners


Partner, Sales and Consulting

Advintro
08.2023 - Current
  • Sales and business development with FinTech and WealthTech companies
  • Partner with Advisors and their practices; this includes advisor lead-gen, client management, and AI Machine Learning for stock picking and portfolio optimization

Regional Vice President, Western US & New York

Advisor Preferred Funds/Ceros Financial
03.2022 - 05.2023
  • Sales leader working to promote sub-advised mutual funds from tactical, active, and risk-managed asset managers
  • Educated financial advisors across Independent Broker Dealers and RIA’s on rules-based dynamic strategies


Senior Investment Banker

Sequence Financial Specialists
07.2021 - 01.2022
  • Worked closely with legal, financial, and advisory teams in developing managing broker-dealer.
  • Leveraged connections to fund Regulation A+ and Regulation D offerings.


Director of National Sales

Nelson Partners Student Housing
03.2021 - 06.2021
  • Managed private placements in real estate investments and facilitated DST & 1031 Exchanges

Managing Director, Western US

Saratoga Capital Management, LLC
12.2018 - 01.2021
  • Key contributor to sales and business development for positioning Saratoga Funds and asset allocation strategies
  • Boosted strategic growth of key accounts across western and southwestern regions.

Advisor Development Consultant, Western U.S.

InsurMark
10.2017 - 03.2018
  • Collaborated and consulted with financial advisors to enhance business development and improvement
  • Developed strategic focus on Registered Investment Advisors, positioning fixed indexed annuities from multiple carriers as alternative investment options in client portfolios


Regional Director, Western US

SpiderRock Advisors
12.2016 - 10.2017
  • Collaborated with registered investment advisors and independent brokers to develop effective investment option based overlay strategies.
  • Enhanced income generation and equity beta/risk reduction through strategic use of options with advisory partners

Vice President, Managing Regional Director

Natixis Investment Managers
09.2006 - 07.2016
  • Oversaw adviser relationships and drove new sales within designated region.
  • Led sales team and directed comprehensive coverage strategies for financial advisors throughout the Western US
  • Represented Loomis Sayles, Oakmark Funds, Gateway, Alpha Simplex Group and 12 affiliated money managers.
  • Directed a team of internal sales consultants and hybrid sales reps to cover a multi-state territory.
  • Elected to Executive Council in 2014 to mentor, train, educate wholesalers in western region, Presidents Club, 2011
  • 2014, achieved over $685 million in gross mutual fund sales, exceeding the territory goal by 145%.
  • 2013, successfully drove team to exceed sales expectations, closing the year at over $600M and above 140% of goal.
  • Exceeded annual sales goal by reaching 153% in designated territory for 2011.
  • Led territory to #1 position in 2009 gross sales.
  • Boosted client adoption of multiple Natixis strategies from 16% to 29% in 2014.
  • Presented practice management training modules to financial advisors.
  • Proven track record of increasing sales quickly in new and existing territories
  • Conducted evaluations of portfolios for enhanced advisor recommendations.


Regional Director, National Sales

Natixis Investment Managers
09.2006 - 09.2008
  • Led sales team training programs.
  • Ranked #1 in separately managed account sales for 2006 and 2007.

Regional Vice President, National Sales

AIG SunAmerica Mutual Funds
05.2004 - 08.2006
  • Showcased the range of AIG SunAmerica Funds to top broker dealers in Arizona, Colorado, and California
  • Developed expertise in territory management, networking, and segmentation

Senior Internal Wholesaler/Outside Sales

Eaton Vance Distributors
01.1999 - 04.2004
  • Trained and developed new employees effectively as part of team leadership responsibilities.
  • Secured leading position in mutual fund sales and syndicate closed end fund deals.


Co-Op/Full-Time Internship

UBS Financial Services
08.1998 - 12.1998

Education

Bachelor of Science - Economics & Business Management

State University of New York, College At Cortland
Cortland, New York
06.1998

Skills

  • Sales territory management
  • Territory management
  • Client service
  • Networking
  • Prospecting
  • Alternative investment experience
  • Capital market analysis
  • Financial advisory collaboration
  • Presentation skills
  • Communication skills
  • Meeting preparation
  • Leadership skills
  • Team player
  • Capital markets understanding
  • Industry trends knowledge
  • Resource utilization
  • Budget management
  • Compliance management

Hobbies and Interests

  • Avid golfer
  • Fitness activities
  • Traveling
  • Spending time with my 3 boys (14/12/12 years old)
  • Watching my kids sports teams

Licensesdesignationstraining

  • FINRA Series 7
  • Series 63
  • Accredited Investment Fiduciary (AIF) training
  • Dale Carnegie Training
  • FUSION Training
  • Education modules and in-depth training on Alternative Investments and their role in a portfolio
  • Portfolio Analytics and Evaluation Training
  • Kolbe A Index
  • Salesforce.com/CRM
  • Microsoft Office

Certification

FINRA Series 7, FINRA Series 63, SIE

Dale Carnegie Training

Accredited Investment Fiduciary (AIF) Training

FUSION Training

Alternative Investment Education & Portfolio Analysis

Kolbe A Index

Timeline

Regional Sales Director

Rock Harbor, LLC
12.2023 - Current

Partner, Sales and Consulting

Advintro
08.2023 - Current

Regional Vice President, Western US & New York

Advisor Preferred Funds/Ceros Financial
03.2022 - 05.2023

Senior Investment Banker

Sequence Financial Specialists
07.2021 - 01.2022

Director of National Sales

Nelson Partners Student Housing
03.2021 - 06.2021

Managing Director, Western US

Saratoga Capital Management, LLC
12.2018 - 01.2021

Advisor Development Consultant, Western U.S.

InsurMark
10.2017 - 03.2018

Regional Director, Western US

SpiderRock Advisors
12.2016 - 10.2017

Vice President, Managing Regional Director

Natixis Investment Managers
09.2006 - 07.2016

Regional Director, National Sales

Natixis Investment Managers
09.2006 - 09.2008

Regional Vice President, National Sales

AIG SunAmerica Mutual Funds
05.2004 - 08.2006

Senior Internal Wholesaler/Outside Sales

Eaton Vance Distributors
01.1999 - 04.2004

Co-Op/Full-Time Internship

UBS Financial Services
08.1998 - 12.1998

Bachelor of Science - Economics & Business Management

State University of New York, College At Cortland

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