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SWestfall Cover and Resume

September 28, 2008

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Steve Westfall

Cell# 801-***-****

E-mail: ********@*****.***

September 29th, 2008

Dear Sir/Ma’am,

I believe my extensive sales experience with a proven track record coupled with the ability to multi-task in a competitive business environment will make me an asset to your company.

I also bring forth a creative, strategic, and business focused approach to prioritize and address day-to-day issues. I have a strong commitment to team environment dynamics with the ability to contribute expertise and follow leadership directives at appropriate times.

Accompanied by this letter is my resume for your pursual. I would welcome the opportunity to meet with you to discuss how my experiences would be consistent with your needs.

I thank you for your time and look forward to a favorable response.


Steve B. Westfall

Steve Westfall

Direct# 801-***-****

e-mail: ********@*****.***


Obtain a full-time position in the Houston or The Woodlands, Texas area that will allow me to work with a company that is a world class leader and apply my abilities to benefit the company, clients and goals.


Self Employed – Registered Financial Advisor


• Responsible for client investment management for a book of business valued upwards of $27 million

• Work closely with external companies to identify and initiate corrective action to ensure client’s investment goals/objectives are met.

• Handle client concerns requests on a daily basis

• Maintain customer correspondence log

• Generate and submit monthly and/or quarterly reports

• Office hardware and software install and problems solving

• Appointment setting and travel coordination

• Assisted in the creation of an electronic file system, converting all forms and documents to PDF format for all serviced clients for increased efficiency

First Northern Bank/Raymond James – Financial Consultant


• Perform prospecting activities, e.g., telephone and face-to face methods to build client base

• Ensure all client files are compliant with industry securities regulations

• Service customer needs and policies effectively

• Conduct needs analysis to determine clients’ financial and insurance needs

• Provide clients with a high level of individualized customer service, full service brokerage services and investment strategies consistent with their individual financial goals and needs for 8 bank branches

• Maintain and manage long-term client relationships

• Meet with external wholesale company representatives to train and stay current with products and services available

• Work closely with branch office staff at 8 branch locations

Steve Westfall


• Excellent problem solving, networking, communication, interpersonal and organizational skills.

• Microsoft OS and Internet knowledge

• Goal-oriented

• Enjoy working with people and providing benefits to them and/or their business

• Enjoy creating and implementing comprehensive needs assessment mechanisms to help forecast demand for services

• High energy forward thinker

• Effectively explain complex information in simple, easy-to-understand terms

• Value ongoing learning and education

• Ethical - possess high integrity


• Securities License Series 7

• Securities License Series 65

• Securities License Series 63

• Life Agent License - multiple states

• Central Texas College – US Naval Base, RP (01/87-05/88)

12 semester units in Business Law

• NCO Non-Commission Officer School – Okinawa Japan (02/87)

• ITS School Camp Pendleton, CA (06/85-08/85)

Graduated Co-Honor


• Jackson National Life Star Award (2007)

• Hartford Top Producer Award (2007)

• Top Producer for Franklin Templeton (2003, 2004 and 2005)

• Leadership Council Hartford Life (2003, 2004 and 2005)

• Letters of Commendation/Appreciation (11)

• Meritorious Mass Awards (4)

• Outstanding Scores on Physical Readiness Test (2)

• Meritorious Unit Citation (1)

• Overseas Ribbon (3)

• Good Conduct Medal (1)

REFERENCES - Available upon request

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