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LIFE INSURANCE AGENTS AND BROKERS <br /> ISSUED BY ERRORS AND OMISSIONS LIABILITY <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 /> Y—NUMBER <br /> FROM <br /> 3634638 EO 11/08/2010 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: Z LOSS ONLY <br /> ❑ LOSS AND LITIGATION EXPENSE <br /> PREMIUMS <br /> BASIC POLICY PREMIUM $ INCLUDED <br /> FINANCIAL PRODUCTS PREMIUM $ NIA (See attached endorsement for details) <br /> MUTUAL FUND AND VARIABLE ANNUITY PREMIUM $ _ N/A (Sae'attached endorssment1ordeWls) <br /> PROPERTY& CASUALTY PRODUCTS PREMIUM $ N/A (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$500.00 Minimum Premium <br /> RETROACTIVE DATE <br /> This insurance does not apply to loss, whenever occurring, from "wrongful acts" which took place before the <br /> Retroactive Date, if any, shown below: <br /> NONE <br /> Enter Date or"None" if no Retroactive Date applies <br /> OPTIONAL EXTENDED REPORTING PERIOD PREMIUM <br /> In Section VII - EXTENDED REPORTING PERIODS, we agree to provide an Optional Extended Reporting Period <br /> under certain conditions. The premium for such an Optional Extended Reporting Period is determined as shown in <br /> paragraph 5. Of Section VII. <br /> FORMS AND ENDORSEMENT$ APPLYING TO AND.MADE PART OF THIS POLICY AT TIME OF ISSUE: <br /> IL-0985 (01-03) * 14-E-0001 (01-91) * 14-E-0097 (07-99) 14-E-0114 (04-97) <br /> 14-E-1106 (09-2009) * 14-L-0052 (09-2009) * 14-P-LEO (02-98),.00-' 14-E-1092 { 4-20 ) * 14- <br /> E-1093 (11-2007) * 14-E-1100 (01-2009) * 14-L-0049 (01-2009) * /404 , u <br /> Cc i;l`r!_ NED A r, U Ica, NY' }j' <br /> Crn St W. V/? e k s <br /> T vE C -LA.RA ION AND THE": C.OVERr`LteE Fi RM,(S) AMID ENDORSEMENTS, iF AI\'Y, ISSUE=D''O FORIIII A <br /> PART i FIEI- EOF, C011APLETE T-IE ABOVE NUMBERED POLICY. <br /> 14-D-' EO Frt. SEE .—?VER FOR !'Mir R- ^, T CLAitI -u <br /> E COVERAGE NOTiCE Page 1 of 2 <br /> UNIBILL 1s:t 753 L1 PREMIUM., AMOUNT TO 5E ��c:FL=_CTED ON NEXT BILLET=tG NOTICE <br />