If you have any questions, please contact Seabury
& Smith, Inc., FINRA's™ insurance program
administrator at 1-800-978-6273.		  

Errors & Omissions Liability coverage can help protect your firm's assets from the costs associated with lawsuits alleging errors and omissions on the part of your firm or its registered representatives. This coverage may also significantly assist with legal defense costs for covered professional services.

Our goal is to provide you with the most comprehensive coverage at the most reasonable price with the least amount of work for you. As a service to broker-dealer firms, Seabury & Smith will perform a no-obligation analysis of your E&O exposure and make an initial determination of the market availability for your firm’s coverage.

To request your firm’s FREE analysis, simply complete the brief Eligibility Questionnaire below. Our insurance specialists will research the market for the best coverage and rates for your firm to choose from.

ELIGIBILITY QUESTIONNAIRE
Errors & Omissions Liability Insurance for Broker-Dealers
Broker-Dealer Firm Name
CRD#:
Address
City
State
Zip
Contact Name
Telephone
Fax
Email Address *
Number of Registered Representatives
Number of Claims In Past 3 Years
   
1. Expiration Date of Current Coverage
2. Who is your Current Insurer:
3. Annual Revenues:  
Broker-Dealer Investment Advisor
Investment Advisor
4.Provide Your Estimated Business Mix:
 % Total Stocks
  Any Unlisted Stocks?  Yes No
  Any Penny Stocks?  Yes No
     
 % Total Bonds
     
 % Unregistered Stocks & Bonds
   
 % Mutual Funds
  Any Hedge Funds?  Yes No
   
 % Option Contracts
 % Future Contracts
 % Total LTD Partnerships
  Any Unregistered?  Yes No
     
 % 1031 Exchanges (Real Estate)
 % Total Annuities
  % Variable
  % Fixed
 % Life, Health & Disability
 % Life Insurance
 % Health & Disability Insurance
   
 % OTHER: (Specify)
     
 %TOTAL
 
EOX25833
 
1-800-978-6273 | insuranceinfo@seaburyandsmith.com
 
 
For additional information about Seabury & Smith's insurance products for broker-dealer firms, visit us at www.seaburyandsmith.com.

FINRA is a trademark of the Financial Industry Regulatory Authority, Inc.
 FINRA and other trademarks of the Financial Industry Regulatory Authority, Inc. may not be used without permission.
Seabury & Smith, Inc., FINRA's insurance program administrator, is a third party provider of insurance products. It is in no way owned or managed by FINRA.
 
Use of any product or service offered hereunder does not ensure compliance with any state, federal, or local laws, rules, regulations, ordinances, statutes or FINRA's rules applicable to such member nor does such use relieve a member of its obligations under state, federal, or local laws, rules, regulations, ordinances, statutes or FINRA's rules.