In order to understand the firm insurance program, one must understand our individual insurance program. Your firm will receive vicarious liability coverage through the enrollment of your reps. This policy is sold on an individual level not as a blanket policy.

Your firm can now enjoy unparalleled coverage with no charge to the firm, but rather a one time
non-refundable fee of $100.00 per rep.
What in turn does this get your BD or RIA?

• A policy that is easy to understand
• No membership or premium cost to the firm
• Virtually no product exclusions – covers fiduciary planning, REITs, TICs, and private placements
• Risk mitigation tools to help preserve your firm
• Reinsured by Lloyds of London syndicates – All "A" Rated
• Frequently Asked Questions

• 1 million per claim
• 2 million aggregate
• Individual policy is portable even into retirement.

The entity is covered when an individual policy holder is named in a claim and the entity is also named. Thus 100% enrollment provides the MOST protection for the entity. The coverage is strictly for arbitrated/mediated cases initiated by an individual client (a natural person) or their heirs. Regulatory attacks initiated by a client/customer are also covered.