Acknowledgements – AdvisorCovered Quotes

Eligibility & Acknowledgements

When selling Series 6 or Series 7 products, you are required to provide your CRD Number.

Central Registration Depository (CRD) Number: *

Applicant makes the following representations, warranties and agreements: *

I understand and acknowledge that this is a claims made and reported policy and that under a claims made and reported policy, coverage must be in-force at the time the product is sold and at the time the claim is filed, with no lapses or “gaps” in coverage. If coverage is no longer in-force (canceled or non-renewed), then claims against the insured for product sold prior to the cancellation effective date will not be covered. An Extended Reporting Period may apply but agents should secure continuous E&O coverage to ensure that prior acts are covered.

I understand and acknowledge that a valid license/registration in all jurisdictions in which applicant will act as an Agent and/or as a Registered Representative is required to be eligible for this program.

I understand that this coverage is designed for Individual Registered Investment Advisors (RIA), Investment Advisor Representatives (IAR), Financial Planners, and RIA Firms (e.g., LLCs and Corporations) looking for coverage in the name of the entity should apply under the RIA Firm Option.

I understand and acknowledge that I must have a prior calendar year gross revenue that does not exceed $2,000,000 to be eligible for this program.