Registered Investment Advisors

Comprehensive E&O coverage for targeted Financial Institution classes through an AM Best A+ rated carrier.

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Approved classes include non-bank commercial and not-for-profit lenders, investment advisors, financial planners, consultants, mortgage bankers and brokers, and financial technology companies.


  • Coverage Lines: D&O, E&O, Cyber, EPLI, Fiduciary and Crime
  • Multiple Retention Options
  • E&O and D&O Coverages Packaged on One Policy
  • Shared Limits for E&O and D&O Coverage
  • 24-48 Hour Turnaround Time from Initial Submission to Quote
  • Admitted, AM Best A+ Carrier

Trust Norman-Spencer to have your back. Give us a call at (800) 543-3248 to learn more about application requirements and submission requirements.