Bruce M.

Claflin
1875 Stillwater Street Mobile: 612/296-6556
White Bear Lake, MN 55110 bcfa1bfa@westpost.net
Senior Financial Management Executive
Cross-Functional Experience & Cross-Industry Expertise
Highly qualified Executive offering 25+ years of securities and insurance sales
experience acquired through co-ownership of privately-held Securities Broker/De
aler, Insurance Brokerage, and Retail Financial Planning Firm. History of leader
ship in the following areas:
* Compliance Management * Relationship Management
* Sales Development * Broker Recruitment
* Productivity Enhancement * Strategic Financial Planning
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PROFESSIONAL EXPERIENCE
Questar Capital (USAllianz Securities name change) 2007-May 2009
DIVISIONAL VICE PRESIDENT - GREAT LAKES
Management of Compliance, Sales, and Recruiting in 11-state, 25 Branch region.
Selected Result:
* Integration of USAllianz Securities and Questar Registered Representatives wit
hin Firm's largest and most productive region. Responsible for oversight of 300+
Registered Reps.
USAllianz Securities 2004-2007
DIVISIONAL VICE PRESIDENT - EAST
Responsible for maintaining supervisory structure and driving sales and recruiti
ng in 22-state, eastern region. Oversight of 300+ Registered Representatives.
REGIONAL VICE PRESIDENT - SOUTHEAST
Responsible for oversight of all sales, recruiting and supervisory activities in
18-state, southeast region. Oversight of 500+ Registered Representatives.
Selected Result:
* Successfully realigned and maintained supervisory structure in firm's top regi
ons.
National Planning Corp. - Santa Monica, CA 2002-2004
REGIONAL VICE PRESIDENT - MIDWEST
Responsible for recruitment of OSJ/Branch offices in 19-state territory.
Selected Result:
* Top recruiter at NPC 2003 with approximately 9 million GDC and 80 reps.
Somerset Financial Group - Princeton, NJ 1999-2002
SENIOR VICE PRESIDENT
Responsible for recruitment of independent contractor representatives/agents and
development.
Selected Result:
* Increased sales force by 40 percent in first 12 months.
Workman Securities Corporation - Minnetonka, MN 1985-1999
CO-FOUNDER, EXECUTIVE VICE PRESIDENT
1993-1999
Creation of Securities Broker/Dealer
Responsible for recruitment of all sales professionals, daily development and ma
nagement of all securities sales efforts and oversight of sales training program
, compliance and recruitment.
Bruce M. Claflin
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Workman Financial Group - Minnetonka, MN - continued
1989-1993
Development of Insurance Brokerage Service
Responsible for recruitment of agents and delivery of products and concepts to i
nsurance professionals.
1985-1989
Initial
Responsibilities included financial planning, team management, training and recr
uitment.
Key Accomplishments:
* Banner Life Field Advisory Council 1992, 1993, 1994
* Banner Life Herb Rovner Award (top sales) 1995
* Co-host "Workman on Money" Radio Program 1987-1994
* 35+ Various Leadership Awards for Securities and Insurance Product Sales

IDS/American Express - Minneapolis, MN 1983-1985

Responsible for client cultivation and financial product delivery.
Key Accomplishment:
* IDS Mercury Award Winner 1984
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EDUCATION/CERTIFICATION
University of Wisconsin-Stevens Point '73,'74/Northern Illinois University '79,'
80
NASD Licensed Series 7, 24, 63
Life Insurance License in the states of Minnesota, Iowa, Kansas, Missouri, Utah,
New Jersey & Alaska