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:
Have these handy
- Form ADV or registration details
- Assets under management
- Product mix by revenue
- Five years of loss runs
Related coverage
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 AdvisorsBegin Application
Required forms
Financial Advisors Supplemental Application (PDF)Want to save and finish later? Complete it online
Download, complete and email to quote@societiesinsurance.com, or attach it with your quote request.
Prefer to talk?
- Toll-Free: 800-616-3490
- East Coast: 706-550-4418
- West Coast: 206-755-0101
- info@societiesinsurance.com
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Sat 9:00am - 12:00pm