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LIFE INSURANCE AGENTS AND BROKERS <br /> ERRORS AND OMISSIONS LIABILITY <br /> ISSUED <br /> UTICA MUTUAL.INSURANCE COMPANY DECLARATIONS POLICY <br /> P.O. BOX 530, UTICA,NEW YORK 13503 CLAIMS-MADE BASIS <br /> TELEPHONE:(800)274-1914 RENEWAL POLICY <br /> NAMED INSURED AND MAILING ADDRESS LOCATION ADDRESS <br /> MARK III FINANCIAL GROUP <br /> 211 GREENWICH ROAD <br /> CHARLOTTE NC 28211 <br /> AT 12:01 A.M. STANDARD TIME AT THE ADDRESS OF THE INSURED AS STATED HEREIN. IN RETURN FOR <br /> PAYMENT OF THE PREMIUM, AND SUBJECT TO ALL THE TERMS OF THIS POLICY WE AGREE WITH YOU TO <br /> PROVIDE THE INSURANCE AS STATED IN THIS POLICY. <br /> POLICY PERIOD <br /> ROM PRlQR 01 IQ Y NO <br /> 3634638 EO 11108/2010 11/08/2011 3634638 EO <br /> BASIC POLICY COVERAGE LIMITS OF LIABILITY <br /> LEGAL LIABILITY $ 2,000,000 EACH LOSS <br /> $ 6.000,000 EACH AGGREGATE <br /> INSUREDS DEDUCTIBLE AMOUNT $ 5,000 EACH LOSS <br /> $ 15,000 AGGREGATE <br /> DEDUCTIBLE APPLIES TO: Q9 LOSS ONLY <br /> ❑ LOSS AND LITIGATION EXPENSE <br /> PREMIUMS <br /> BASIC POLICY PREMIUM $ INCLUDED <br /> FINANCIAL PRODUCTS PREMIUM $ N/A (See attached endorsement for details) <br /> MUTUAL FUND AND VARIABLE ANNUITY PREMIUM $ hi/A. (See attached endorsement etails) <br /> PROPERTY& CASUALTY PRODUCTS PREMIUM $ NIA (See attached endorsement for details) <br /> SUB-AGENTS PREMIUM $ N/A (See attached endorsement for details) <br /> TOTAL POLICY PREMIUM $ 10,481.00 <br /> All Policies Subject to$500.00 Minimum Premium <br /> RETROACTIVE DATE <br /> This insurance does not apply to loss, whenever occurring, from "wrongful acts" which took place before the <br /> Retroactive Date, if any, shown, below: <br /> NONE <br /> Enter Dale or"None" if no Retroactive Date applies <br /> OPTIONAL EXTENDED REPORTING PERIOD PREMIUM <br /> In Section VII - EXTENDED REPORTING PERIODS, we agree to provide an Optional Extended Reporting Period <br /> under certain conditions. The premium for such an Optional Extended Reporting Period is determined as shown in <br /> paragraph 5.Of Section VII. <br /> FORMS AND ENDORSEMENTS APPLYING TO AND MADE PART OF THIS POLICY AT TIME OF ISSUE: <br /> IL-0985 (01-03) * 14-E-0001 (C'1-91) * 14-E-0097 (07-99) 14-E-0114 (04-97) <br /> 14—r 1 :106 (09-2009) * 14-L-0052 109-2G,w?9j * 14- P-LFi2 (02-9$' 14-E- 2 {0_4-2014- <br /> E- )<;', 1"1" -2007) * 14-E-1100 (01-100', . * ' 14-L-0049 (01-2009) * -,_�i ff��j <br /> n< % w ORite P <br /> ..t_ ? 1 ! " �. t.�, t ., 11�f; '� _.. trJ ta, t1C l i (3 4,Ju is .. <br /> F yv. ;, ,��. s t{., .`f .. v ,_ NG _: <br /> tits .+. § rai 1 i ,L. <t r_i 'C.�T f; a `tE '' s Bit E 1t C t C)TIGE <br />