Broker/Dealer E&O is a complex insurance contract and every brokerage firm needs specialized coverage. At Swingle Collins & Associates, we understand those needs. We tailor specific policies to ensure quality coverage and then manage these programs for maximum success. Our expert agents at Swingle Collins focus exclusively on property and casualty insurance solutions. They are dedicated to understanding the sophisticated insurance needs of Broker/Dealers and their policy requirements.

Choosing the right agent for your E&O needs is no minor decision. When you choose Swingle Collins, you can choose with confidence.

Coverage Specifics for Broker/Dealer E&O

Broker/Dealers face a unique set of exposures. Investor suits, potential advisor fraud/negligence, and FINRA scrutiny are just a few of the many potential risk areas where an agent can offer guidance.

The marketplace for Broker/Dealer E&O is constantly evolving and as a result, so is a good agent’s market knowledge. Effective agents maintain strong carrier relationships and possess acute market understanding in order to tailor your policy individually.

Broker/Dealer E&O: Not All Created Equal

Mismanaged E&O claims can be mutually devastating, both to the Broker/Dealer and Registered Rep alike. Because of these high stakes, Broker/Dealer E&O policies must be chosen and managed carefully to select the right terms, conditions, and limits for all parties. Potential policies vary widely by retention, coverage limits, exclusions, and scope of coverage. Seemingly insignificant differences can produce highly significant results in the long term.

At Swingle Collins, we know that a complex nuance in E&O insurance policy terms can be the difference between seven figure loss settlements. We take these details seriously and choose policies for our clients that minimize risk and exposure.

Why choose Swingle Collins & Associates for Broker/Dealer E&O Insurance?

Navigating the complexity of Broker/Dealer E&O insurance does not end when insurance is placed, it begins. At Swingle Collins, we know that selecting a policy is just as important as managing it. From claims advocacy, to discerning coverage limits, to periodic contract review, we are committed to an ongoing relationship that vigilantly minimizes your professional liability.

Swingle Collins has a proven roster of Broker/Dealer clients and trusted carrier relationships alike. We understand how to navigate the complexities of the Broker/Dealer marketplace and provide excellence and service to our valued clients.

Call us today to consult with you on your Broker/Dealer E&O insurance. Let us put our knowledge and experience to work for you.

Swingle, Collins & Associates specializes in commercial insurance coverage The descriptions of coverages listed on this website are brief and subject to the provisions, limitations, and exclusions that can only be expressed in your policy and related endorsements. For additional information of how Swingle, Collins & Associates can assist in meeting your coverage needs for Broker/Dealer Errors & Omissions Insurance please contact your dedicated risk manager to discuss the benefits and services of commercial insurance coverage.

The information contained on this page is provided for informational and educational purposes only. It contains general information on insurance issues and may not reflect the most current developments in insurance coverage and is unlikely to apply in all factual scenarios. The information does not include all the terms, coverages, exclusions, limitations or conditions that may be contained in the actual insurance contract language. The policies themselves must be read for those details. Sample policy forms will be made available upon reasonable request.