Kenneth Kindberg
Professional summary
Kenneth Kindberg, who also goes by Ken Charles Kindberg, Kenneth Charles Kindberg, is a registered financial professional currently at TRANSAMERICA CAPITAL, LLC located in Denver, Colorado.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1999. Kenneth has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Kindberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2026 - Present
TRANSAMERICA CAPITAL, LLC
Office #1: 1801 California St Suite 5200, Denver, CO 80202January 12, 2026 - June 6, 2026
PINNACLE CAPITAL SECURITIES, LLC
December 14, 2023 - December 10, 2025
FORESIDE FUND SERVICES, LLC
April 5, 2022 - May 3, 2023
CEROS FINANCIAL SERVICES, INC.
August 2, 2021 - December 31, 2021
SEQUENCE FINANCIAL SPECIALISTS LLC
July 2, 2019 - February 2, 2021
NORTHERN LIGHTS DISTRIBUTORS, LLC
September 25, 2006 - June 13, 2016
NATIXIS DISTRIBUTION, LLC
June 14, 2004 - September 1, 2006
COREBRIDGE CAPITAL SERVICES, INC.
October 6, 1999 - April 19, 2004
EATON VANCE DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/9/2026)
(6/9/2026)
(6/10/2026)
Exams
FINRA
Current Firm
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR; PRESIDENT, ASSET MANAGEMENT DISTRIBUTION | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CRESSMAN, JONATHAN SCOTT | PRESIDENT, ANNUITY DISTRIBUTION | 2837287 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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