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Financial Advisors Insurance - Let us find your best coverage - errors and omissions for financial advisors and RIAs

Financial advisor E&O claims usually follow market losses and suitability complaints, and carriers rate on assets under management, products sold and registration type. Send us a few details and we will shop 50+ carriers for your best rate – no cost, no obligation. Prefer to talk? Call 800-616-3490.

Financial Advisors Quote Request

Applicant Information:

Business Structure (Optional - choose one)

Have these handy

  • Form ADV or registration details
  • Assets under management
  • Product mix by revenue
  • Five years of loss runs

Related coverage

Coverage details

What Financial Advisors coverage includes

Financial advisor E&O claims usually follow market losses and suitability complaints, and carriers rate on assets under management, products sold and registration type.

  • Professional liability - Claims that your advice, work or omission caused a client a financial loss.
  • Defense costs - Attorney fees and court costs, even when the claim has no merit.
  • Disciplinary proceedings - Defense before a licensing board or regulator.
  • Regulatory investigations - Defense of SEC, FINRA or state securities inquiries.
  • Cyber and privacy - Breach response and liability for client data you hold.

Good to know: documented suitability reviews and written investment policy statements usually lower rates and open more carriers.

Not covered: guarantees of investment performance, market losses alone, and sale of unregistered or alternative products on many policies.

Insurance Application:

Financial Advisors

Required forms

Financial Advisors Supplemental Application (PDF)

Download, complete and email to info@societiesinsurance.com, or attach it with your quote request.

Insurance advisor meeting with a client
Contact details

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