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V <br />111' / -5 -0/? . <br />CERTIFICATE OF INSURANCE <br />NOTICE: <br />THIS INSURANCE PROVIDES COVERAGE ON A CLAIMS -MADE AND REPORTED BASIS AND, SUBJECT TO <br />THE PROVISIONS OF THE POLICY, APPLIES ONLY TO ANY CLAIM FIRST MADE AGAINST AN INSURED AND <br />REPORTED TO THE INSURER IN ACCORDANCE WITH SECTION VII, NOTICE. NO COVERAGE EXISTS FOR <br />CLAIMS FIRST MADE AFTER THE END OF THE CERTIFICATE PERIOD UNLESS, AND TO THE EXTENT THAT, <br />THE EXTENDED REPORTING PERIOD APPLIES. DEFENSE COSTS REDUCE THE LIMIT OF LIABILITY AND ARE <br />SUBJECT TO THE RETENTION. PLEASE REVIEW THE POLICY CAREFULLY AND DISCUSS THE COVERAGE <br />WITH YOUR INSURANCE AGENT OR BROKER. <br />THIS CERTIFICATE OF INSURANCE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND, OR <br />ALTER THE COVERAGE AFFORDED BY THE INSURANCE POLICY. <br />MED INSURED: Maribel Larios PRODUCER: Mercer Consumer, a service of <br />Mercer Health & Benefits Administration LLC <br />P,0. Box 8146 <br />ADDRESS,. 29250 Wrangler Drive Des Moines, IA 50306 -8146 <br />Murrieta, CA 92563 1 -866- 795 -2041 <br />COMPANY AFFORDING COVERAGE: Continental Casualty Co. <br />COVERAGE <br />THIS IS TO CERTIFY THAT THE INSURED LISTED ABOVE IS COVERED UNDER THE POLICY OF INSURANCE <br />LISTED BELOW, FOR THE CERTIFICATE PERIOD INDICATED. THE INSURANCE AFFORDED BY THE POLICY <br />DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICY. <br />Policy Number <br />Certificate <br />Certificate Period <br />Limits of Liability <br />Number <br />Effective Date <br />Expiration Date <br />$ 1,000,000 Each Claim <br />425236695 <br />RIA2103 <br />08/12/2014 <br />0811212015 <br />$ 1,000,000 Aggregate <br />This policy is also subject to a Policy Year '.. <br />aggregate limit of liability of $ 15,000,000 <br />The Policy Year aggregate limit of <br />liability will be reduced by claims paid on <br />behalf of all Insureds under the policy, <br />including you. <br />The Policy Year aggregate limit includes <br />the total per claim /aggregate limits of the <br />insurer regardless of the total number of <br />Insureds under the Policy, the total <br />number of Certificates of Insurance <br />issued under the policy, Claims made <br />under the policy, or persons or entities <br />bringing such Claims. <br />Retention: Securities (other than Mutual <br />Funds /Variable Annuities /Variable <br />Insurance), Investment Advisory <br />Variable Annuities /Variable Insurance <br />(that requires a securities license) and <br />GSL20081XX 06 -2012 <br />$ 5,000 Each Claim <br />$ 5,000 Each Claim <br />