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                                                                                      Customer No. ____________________


This is an application for claims-made coverage for the following professional services performed for others:

  • tax preparer or enrolled agent services, including tax advice
  • bookkeeping services
  • payroll processing services
  • data processing services

  • notary public services
  • recommending and installing hardware and software including training your client in the use of hardware and software.
Optional coverage is available for services as a financial planner, registered investment advisor, registered representative and life agent when services are rendered to implement a written financial plan. Coverage is limited to the recommendation, sale, and/or management of the following "Financial Products" and "Insurance Products".

  • financial instruments insured by the FDIC;
  • United States treasury securities and savings bonds;
  • bonds issued by U.S. based entities that have a Moody's Investors Service Financial Strength rating of Baa or better;
  • mutual funds registered with the Securities Exchange Commission;
  • equities traded on U.S. or Canadian exchanges issued by an entity able to meet the minimum capitalization and other requirements to maintain listing on the NASDAQ SmallCap Market. This does not include real estate investment trusts;
  • variable life products, variable annuities, fixed annuities, life, health, accident or disability contracts issued by an insurance company that have an A.M. Best Financial Strength rating of B or better.
Personal Information
Your Name:
Desired Effective Date:
Firm Name:
E-mail Address:
Fax Number:

Qualifying Questions

After inquiry of all owners, partners and officers of the firm:

1 . No firm member or employee is a licensed CPA.
2 . No firm member or employee is aware of any act, omission or fee dispute which might be expected to be the basis of a claim or suit against the firm, firm personnel, or the firm's predecessors in business.
3a . Within the past 5 years, no firm member or employee has been the subject of any regulatory investigation or inquiry; suspended from practice; or charged, indicted, plead guilty or convicted of any felony charge.
3b . No firm, its members or employees have had any disclosure events or reportable events on their respective Form U-4, U-5, U-6, or Form ADV or similar document.
4 . Within the past 5 years, the firm has not prepared any financial statements that have been used in any securities offerings whether public, private, registered, or unregistered.
5 . Within the past 5 years, no firm member or employee has had any professional liability insurance declined, canceled or non-renewed (Not applicable in Missouri).
6 . Within the past 5 years, the firm, its predecessors in business, and associated owners and employees have had no more than 2 claims including suits, settlements, arbitrations, and mediations.
7 . Within the past 5 years, the total amount paid or reserved on claims, settlements, and/or arbitrations against the firm, its predecessors in business, and associated owners and employees is no more than $10,000.
8 . The firm is not a securities broker/dealer and no firm member or employee is a registered general or limited principal of a securities broker/dealer.
If you responded 'True' to all statements above, you qualify for the Plan. Please complete the information requested and return it as soon as possible. Once your application is received, we'll send you a quotation. If you do not qualify, you can call Affinity Insurance Services toll-free at 1-866-225-8464 to speak to a representative about coverage options available to you.