KENNETH J.

STAPLETON
26 Winfield Street Norwood, Massachusetts 02062 (617) 365-9019 ks105961a@west
post.net

* FINANCIAL SERVICES CONSULTANT *

Highly motivated and detail-intensive financial expert, applying 15 years of exp
erience to the achievement of exceptional relationship management, team performa
nce, and profits.
Demonstrate expertise in business development, operations direction, program an
d project management, multimedia marketing, sales, fiscal oversight, quality ass
urance, and client satisfaction.
Specialize in management of investments, mortgages, and 529 plans, with focus o
n mutual funds.
Provide product management through launches, promotions, prospecting, presentat
ions, pricing, contract management, deal closing, account management, and channe
l management.
Apply comprehensive product knowledge to needs assessments and customized clien
t solutions.
Secure consistently winning sales numbers in highly competitive markets.
Establish and maximize high-value, trust-based business relationships.
Recruit and focus teams to surpass enterprise expectations.
Embrace and meet diverse challenges in demanding environments.

Regional Management Strategic Planning Business & Client Partnering Market &
Account Expansions
Consultative Sales B2B & B2C Revenue Generation Forecasting Trend Analysis
Due Diligence Risk Management
Asset Management Ethics & Policy Enforcement Compliance Client Acquisition &
Retention Reporting
Communications Presentations Event Management Consensus Building Problem Sol
ving

* PROFESSIONAL EXPERIENCE *
UPROMISE INVESTMENTS, INC., Newton, Massachusetts 2009 Present
Leading administrator of 529 plans.
Client Services Representative, Finance: Realize outstanding performance through
provision of sales support to clients and Financial Advisors regarding 529 plan
s and investment options with focus on client acquisition and retention. Engage
with clients in development and establishment of new accounts, assist with purch
ases, respond to inquiries, and resolve operational issues.
Participated in 4 quality assurance mock conversions, resulting in official con
version for state 529 plans with estimated value of $2.2B.
PUTNAM INVESTMENTS, Andover, Massachusetts 2008 2009
Provider of mutual fund programs and services.
Regional Marketing Associate, Retail Management & Marketing Center (2008 2009):
Revitalized underperforming territory of South Texas marked by extensive histor
y of high turnover through reintroduction of company to broker-dealer wirehouse
channel, as well as outstanding relationship management. Proposed solutions for
Advisers in relation to client information, economic climate, and research provi
ded by Portfolio Managers and Analysts. Engaged in more than 80 outbound calls p
er day, and secured prospects for Regional Marketing Director for wire house adv
isers to include Merrill Lynch, Morgan Stanley, and UBS.
Influenced UBS Investment Managers in Houston, Texas to meet in Boston, Massach
usetts for UBS Due Diligence Conference in light of their recent regional devast
ation from Hurricane Ike.
Selected by senior executives for management of booth at annual Northwestern Mu
tual Finance conference.
Improved year-over-year territory business plan, resulting in increase in annua
l sales from $2.9M to $7.1M.
Dealer Marketing Service Representative (2008): Identified high-value business o
pportunities for sale of mutual fund products and services.
Controlled high volume of inbound calls in support of Investment Advisor needs,
and enhanced Broker relationships.
KENNETH J. STAPLETON ks105961a@westpost.net Page 2

Additional career highlights include the following:

Territory Manager, Florida from 2005 2008 with Invacare Supply Group, distribut
or of wholesale medical supplies. Expedited self-education in medical supplies a
nd devices for achievement of excellent territory development and management wit
h annual sales goal in excess of $11M. Performed trend forecasting, needs assess
ments, account profiling, relationship sales, contract management, and account m
anagement, and engaged in outbound telesales projects. Won sales contest sponsor
ed by ostomy manufacturer against 25 Sales Representatives.
Account Executive, Analyst Information Services in 2004 with Bitpipe, Inc., prov
ider of information networking services to IT industry. Championed launch of Ana
lyst Views Web-interface product with more than 700 potential end users. Present
ed to executives on product benefits, promoted trial offer, coordinated response
s to client concerns, and advised Product Manager on strategies for increased pr
oduct awareness. Coordinated with development team to eliminate bugs identified
within launched product.
Client Relationship Manager from 2003 2004 with First Banc Home Mortgager, Inc.
, provider of consumer financial products and services. Captured significant new
business through placement of more than 50 cold calls per day within 4-state te
rritory. Expedited responses to wholesale Brokers concerning client eligibility
for more than 40 loan programs. Reviewed applications and national credit report
s to determine quality of pending borrowers.
Regional Account Representative from 2002 2003 with Nation One Mortgage, provid
er of consumer financial products and services. Developed business with more tha
n 50 cold calls per day in regional territory of Minnesota. Sourced new Real Est
ate Brokers for expansion of contact database. Verified borrowers application in
formation, prepared pre-qualifications for Brokers to determine eligibility of l
oan size for their borrowers, and participated in attainment of documents for ti
mely closure of home loans.
Staffing Consultant from 2000 2002 with Hollister, Inc., provider of staffing s
ervices to wide-ranging enterprises. Provided excellent business development thr
ough placement of more than 40 daily cold calls, attainment of high-value referr
als from top applicants, optimization of network of referrals, and performance o
f client needs assessments for delivery of qualified applicants.
Client Services Representative from 1997 2000 with Grantham, Mayo Van Otterloo
& Co., LLC, multi-billion dollar money management firm. Oversaw daily cash trans
actions for processed client cash flows for GMO Trust mutual funds, provided tra
ding groups with accurate and timely information pertinent to client cash flows,
and responded to client concerns relevant to transaction activity, account mark
et values, and investment performance.
Customer Service Representative from 1995 1997 with The New England, provider o
f employee and executive benefits programs and retirement solutions. Supported n
ew associates in department with 80 associates engaging in 3,000 daily calls whi
le personally processing as many as 50 daily cases for clients and agent service
s. Updated client financial accounts and policies, presented customer service so
lutions, and negotiated conservation strategies to maintain client base.
* EDUCATION *
B.A., Mass Communication
Westfield State College, Westfield, Massachusetts
* PROFESSIONAL TRAINING *
Miller Heiman Strategic Sales Concepts
* CERTIFICATION *
FINRA Series 6, 63, and 65
* TECHNICAL SKILLS *
Bloomberg Microsoft Office Microsoft Access FMC