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Surplus Lines Insurance Broker License, Individual - Initial
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| Applicable to: |
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Individuals, at least 18 years of age and of good moral character. |
| Description: |
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Application for first-time license & reinstatement; fees; requirements; miscellaneous forms & links. License to procure from insurers not authorized to transact business in CT, policies of insurance against loss from any contingency, except coverage that can be placed through residual market mechanism.
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| Statute: |
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CGS 38a-740, 794. |
| Transaction Type: |
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Initial |
| Duration: |
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Biennial. License expires September 30 of even-numbered years. |
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| Prerequisites: |
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Residents require CT Surplus Lines Broker exam, as well as a P&C Producer license in CT. Nonresidents require equivalent licensure in their "resident" state.
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| Required Documentation: |
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Completed Uniform Application, fee and any documentation required based on a "yes" answer to a question.
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| Other Information: |
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Must submit Quarterly Tax Filings.
USE OF ASSUMED NAMES (TRADE NAMES/DBA NAMES)
Connecticut no longer requires licensure of Trade Names or DBAs, as long as the business entity has the same Tax Identification Number as a Producer-licensed or Surplus Lines Broker-licensed entity or individual; however, registration of assumed names is required. For registration with this Department, please go to www.ct.gov/cid and select the Licensing and Renewal Information link to the left of the page. Then select the Change in License Information Form (Individual & Business Entity) (interactive - secured form - opens in a new window) link.
Prior to registering a DBA name with this Department, you need to determine if you are required to have a separate Tax Identification Number for your business name. Please check with your attorney, accountant, or visit the Internal Revenue Service web site's EIN requirements page Employer ID Numbers (EINs).
To determine if there are business name registration requirements in the town/city in which the business is located, please check with the town/city Clerk's office.
Please note, no insurance business can be conducted in this state through a business entity, or under a business name, unless the business name, its applicable designated responsible person(s), as well as any other individuals acting in this capacity are properly licensed, or in the case of a DBA name, registered.
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| Applications, Forms & Other: |
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PAPER APPLICATION for Producers and Surplus Lines Brokers License, Individual (Uniform Application)
REQUEST FORM (Certification/Clearance Letter)
ONLINE CHANGE FORM (Update License Information)
REQUEST FORM (Duplicate License)
Examination Content Outlines
Quarterly Tax Filing Packet (Instructions & Form)
STATUTES - Title 38a - Insurance
Surplus Lines Affidavit
Surplus Lines Broker FAQs (Requirements & Information)
Test Locations, Availability and More
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| Application Fee: |
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Eff Oct 1 2009 - $675 payable to Treasurer, State of CT |
| Fee Exemptions: |
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None |
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| Agency: |
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Department of Insurance |
| Phone: |
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(860) 297-3868 |
| Mailing Address: |
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State of Connecticut Insurance Dept, Licensing Division (Standard Mail: PO Box 816, Hartford, CT 06142-0816) (Overnight Mail: 153 Market St, 7th Fl, Hartford, CT 06103) |
| Email Address: |
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juliann.collazo@ct.gov |
| Website: |
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www.ct.gov/cid
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| Agency Notes: |
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None
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Last Updated: 9/24/2009
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