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AC ___`s1`1 e <br />llm. � <br />V( <br />ur <br />1� r" <br />CERTIFICATE OF LIABILITY INSURANCE <br />GATE (MMIDDIYYYY) <br />1110412014 <br />THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE <br />HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE <br />AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN <br />THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. <br />IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, <br />subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not <br />confer rights to the certificate holder in lieu of such endorsement(s). <br />PRODUCER <br />DONTACT <br />Lockton Companies, LLC <br />5847 San Felipe, Suite 320 <br />POLICY EXP <br />A/C No.Ext): 888. 828.8365 <br />E -MAIL <br />Houston, TX 77057 <br />INSR <br />DDRESS: <br />INSURERS) AFFORDING COVERAGE <br />NAIC <br />MMIDDIYYYY) <br />NSURER -A: ACE American Insurance Co <br />22807 <br />TYPEOFINSURANCE <br />INSURED f. YF` M f^AJ, <br />Insperlly, Inc. L /C /F <br />FIELDMAN, ROLAPP & ASSOCIATES, INC. dba APPLIED BEST PRACTICES & <br />FIELDMAN ROLAPP FINANCIAL SERVICES LLC <br />NSURER -B: <br />POLICY NUMBER <br />NSURER -C: <br />NSURER -D: <br />NSURER -E: <br />LIABILITY <br />19001 Crescent Springs Drive <br />INSURER-F: <br />Kingwood, TX 77339 <br />COVERAGES CERTIFICATE NIIMBFR' REVISION NIIMRFR• <br />THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY <br />PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO <br />WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO <br />ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES, LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS, <br />IN <br />ACCORDANCE WITH THE POLICY PROVISIONS <br />ADDL <br />Ua <br />SANTA ANA, CA 92701 <br />POLICY EFF <br />POLICY EXP <br />SR <br />LT <br />INSR <br />0 <br />MM /DDIYYYV) <br />MMIDDIYYYY) <br />R <br />TYPEOFINSURANCE <br />POLICY NUMBER <br />LIMITS <br />GENERAL <br />LIABILITY <br />EACH OCCURRENCE <br />DAMAGE TO RENTED <br />OMMERCIAL GENERAL LIABILITY <br />LAIMS MADE OCCUR <br />PREMISES Ea occurrence <br />$ <br />VIED EXPAn one person) <br />PERSONAL &ADV INJURY <br />GENERAL AGGREGATE <br />ENT AGGREGATE <br />LIMIT APPLIES PER: <br />PRO - <br />PRODUCTS — COMP /OP AGG <br />OLICY <br />JECT LOD <br />PROFESSIONAL LIABILITY <br />$ <br />COMBINED SINGLE LIMIT <br />AUTOMOBI LE LIABILITY <br />N AUTO <br />Y <br />LL OWNED SCHEDULED <br />Ea accident <br />$ <br />BODILY INJURY Per Person <br />$ <br />UTOS AUTOS <br />NON OWNED <br />BODILY INJURY Per accident <br />$ <br />PROPERTY DAMAGE <br />RED AUTOS AUTOS <br />Per accident <br />$ <br />MBRELLA LIAB <br />XCESS LIAB <br />OCCUR <br />CLAIMS MADE <br />EACH OCCURRENCE <br />$ <br />AGGREGATE <br />$ <br />EO I I RETENTIONS <br />ORKERS COMPENSATION <br />WC STATU- <br />DTH- <br />A <br />AND EMPLOYERS' LIABILITY <br />NV PROPRIETOR /PARTNER /EXECUTIVE Y/N <br />C4819087A <br />1010112014 <br />10/01/2016 <br />X <br />ORV LIMITS <br />ER <br />FFICER /MEMBER EXCLUDED? <br />EL EACH ACCIDENT <br />$ 1,000,000 <br />N/A <br />a <br />MANDATORY IN NH) <br />f yes, describe under <br />E. L. DISEASE — EA EMPLOYEE <br />$ 1,000,000 <br />DESCRIPTION OF OPERATIONS below <br />E. L. DISEASE — POLICY LIMIT <br />$ 1,000,000 <br />DESCRIPTION OF OPERATIONSILOCATIONSNEHICLES (Attach Acord 101, Additional remarks Schedule, if more space Is required) <br />FIELDMAN, ROLAPP A ASSOCIATES, INC, APPLIED BEST PRACTICES &FIELDMAN SCUFF FINANCIAL SERVICES, LLC (3076300) <br />IS INCLUDED AS A NAMED INSURED THROUGH ENDORSEMENT. <br />RE: PROFESSIONAL SERVICES AGREEMENT FOR FINANCIAL ADVISOR #N- 2014018 <br />I�I�:UIi PfG \�ia�l�kl�: N! \OIMO��e \�I�r� <br />AL:URU 2b (ZU1 U /Ub) 91983 -2010 ACORD CORPORATION. All Rights Reserved. <br />Acct #: 1169655 The ACORD name and logo are registered marks of ACORD <br />/ <br />NOV - 4 2014 1,> <br />V�' <br />SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE <br />CITY OF SANTA ANA <br />THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN <br />CLERK OF THE COUNCIL <br />ACCORDANCE WITH THE POLICY PROVISIONS <br />20 CIVIC CENTER PLAZA (M -30) <br />AUTHORIZED REPRESENTATIVE <br />SANTA ANA, CA 92701 <br />AL:URU 2b (ZU1 U /Ub) 91983 -2010 ACORD CORPORATION. All Rights Reserved. <br />Acct #: 1169655 The ACORD name and logo are registered marks of ACORD <br />/ <br />NOV - 4 2014 1,> <br />V�' <br />