FINRA registered Securities Broker-Dealers face a multitude of management & professional liability exposures in their day to day operations. Broker-Dealers offer a wide array of investment advisory and trading solutions to both retail and high-net worth investors. As such, the risk of 3rd party litigation and regulatory scrutiny has never been greater. Our brokerage team has decades of experience in customizing specific risk transfer solutions to our financial services client’s needs.
New York Based RIA & Private Fund with $400,000,000 in assets under management.