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With Mercer Consumer’s E&O insurance solutions, you’re in good hands:

  • Your legal defense cost paid for covered professional services and protects you against financial losses resulting from claims regarding recommending an unsuitable investment, negligence, or Breach of Fiduciary Duty and more.
  • Resulting judgments paid for by covered claims against your firm, up to policy coverage limits.
  • Specialty investment coverage, including REITs, LPs, PPs and M&A services.
  • Coverage for acting as a fiduciary while performing normal duties of a Registered Representative or Investment Adviser.
  • Coverage available for outside activities, including financial planning, investment adviser functions and insurance services.

FINRA® is a registered trademark of Financial Industry Regulatory Authority, Inc.

Mercer Consumer, a service of Mercer Health & Benefits Administration LLC* (Mercer Consumer), a third-party provider of insurance products, is the Program Administrator. FINRA does not endorse these products and firms are not obligated to use them. Their use does not ensure compliance with FINRA rules or other regulations or laws.

Mercer Consumer, a service of Mercer Health & Benefits Administration LLC
In CA d/b/a Mercer Health & Benefits Insurance Services LLC
AR Insurance License #100102691
CA Insurance License #0G39709

*Mercer Consumer is a registered trade name of Mercer Health & Benefits Administration LLC