Company sponsored insurance agents and broker/dealer and registered representative professional liability

  • Dedicated underwriting team with over 45 years of experience in this niche
  • Ability to write primary and excess
  • Ability to write standalone broker-dealers on a non-admitted basis (carrier is Evanston Insurance Company)
  • Ability to write defense inside and outside of the limits of liability
  • Ability to write aggregate limits of $15m for standalone broker-dealers
  • Claims-made and reported and duty to defend coverage
  • Experienced claims staff

Target classes
  • Mid-size independent securities broker/dealer firms
    • Registered representatives will be independent contractors, offering diverse, long-term conservative financial planning products to their clients
    • Operational for at least 3 years
    • Minimum of 100 contracted producing registered representatives

Minimum participation
  • 100 registered representatives

Minimum premium
  • $250,000

  • Limits up to $15m

Executive leadership

Jim Gray
Executive Underwriting Officer, Professional Liability

Product leadership

Frank Frieri
Senior Director,
Professional Liability

Michael Driscoll
Professional Liability