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CA Department of Insurance

Special Lines' Surplus Line Broker

Licensing Information 

Applicable Forms:

Individual Special Lines' Surplus Line Broker

  • Apply for an insurance license online - Go to the Fast Licensing Application Service is Here (FLASH) for both resident and nonresident applicants to apply for an insurance license online. This link takes the applicant to the procedures of how to file an application online. If you already know how to use the online application service, use the following link to go directly to the FLASH online application
  • Bond of Special Lines' Surplus Line Broker, form LIC 447-32, if applicable (see "Bond" note below).

Business Entity Special Lines Surplus Line Broker License

  • Application for Business Entity License, form LIC 441-11.
  • Bond of Special Lines' Surplus Line Broker, form LIC 447-32.
  • Surplus Line and/or Special Lines' Surplus Line Broker Certification, form LIC-050

Table of Contents:

Authorizing Act:

Section 1760. 5 of the California Insurance Code reads, in part:

A Special Lines' Surplus Line Broker is a person who places the following types of insurance with non-admitted insurers:

A) Insurance against perils of navigation, transit or transportation upon hulls, freights or disbursements, or other shipowner interests; upon goods, wares, merchandise and all other personal property and interests therein, in course of exportation from or importation into any country or transportation coastwise, including transportation by land or water from point or origin to final destination and including war risks; and marine builder's risks, dry docks and marine railways, including insurance of ship repairer's liability, and protection and indemnity insurance, but excluding insurance covering bridges or tunnels.

B) Aircraft insurance.

C) Insurance on property or operations of railroads engaged in interstate commerce.


Qualifications:

  • Minimum Age: 18 years
  • Residency: California residency is not required.
  • Experience: Must hold a Property Broker-Agent, Casualty Broker-Agent license (resident and nonresidents) and a Special Lines' Surplus Line Broker license in resident state (nonresidents).
  • Entity Types: Individual and Business Entity

Filing Requirements: Individual - Residents

  • Application: Apply for an insurance license online - Go to the Fast Licensing Application Service is Here (FLASH) for both resident and nonresident applicants to apply for an insurance license online. This link takes the applicant to the procedures of how to file an application online. If you already know how to use the online application service, use the following link to go directly to the FLASH online application
  • Bond: A Bond of Special Lines' Surplus Line Broker, form LIC 447-32, in the penal sum of $10,000 executed in California by a California admitted surety and accompanied by a jurat and a power of attorney for attorney in-fact executing bond; completed in the name of the applicant and signed by the applicant.
  • Special lines' surplus line brokers who are only transacting on behalf of a licensed special lines' surplus line broker business entity are not required to file a $10,000 special lines' surplus line bond. All other special lines' surplus line brokers must comply with the $10,000 bond requirement.
  • Additional Documents: The Insurance Commissioner may require such other documents as will aid in determining whether the applicant meets the qualifications for a license.
  • Fees: Individual - Residents:
      • License filing - two year term: $534 (effective March 1, 2015 this fee will be $588), the fee for an individual special lines' surplus line broker who only transacts on behalf of a special lines' surplus line business entity.
      • License filing - two year term: $1,070 (effective March 1, 2015 this fee will be $1,178), the fee for an individual special lines' surplus line broker who has a special lines' surplus line $10,000 bond on file.    
      • Renewal Fee - two year term: $534 (effective March 1, 2015 this fee will be $588), the fee for an individual special lines' surplus line broker who only transacts on behalf of a special lines' surplus line broker business entity.
      • Renewal Fee - two year term: $1,070 (effective March 1, 2015 this fee will be $1,178), the fee for an individual special lines' surplus line broker who has a special lines' surplus line $10,000 bond on file.

Note: Applicants applying for both Surplus Line Broker and Special Lines' Surplus Line Broker need only submit one filing fee.


Filing Requirements: Business Entity - Residents

  • Application: Any legal entity, other than an individual, may qualify for a business entity license. Applicants must submit the Application for Business Entity license, form LIC 441-11.
  • Bond: A Bond of Special Lines' Surplus Broker, form LIC 447-32, in the penal sum of $10,000 executed in California, by a California admitted surety and accompanied by a jurat and a power of attorney for attorney in-fact executing the bond; completed in the name of the business entity and signed by an officer or partner.
  • Natural Person Named On Business Entity: Apply for an insurance license online - Go to the Fast Licensing Application Service is Here (FLASH) for both resident and nonresident applicants to apply for an insurance license online. This link takes the applicant to the procedures of how to file an application online. If you already know how to use the online application service, use the following link to go directly to the FLASH online application. (Individual filing requirements must be met). Note: We do not require a bond issued in the name of the natural persons named under the business entity.

Note: Pursuant to Section 1656 of the California Insurance Code the business entity must have at least one California resident endorsee for each license class to establish, maintain and renew the business entity license.

  • Fees: Business Entity - Residents:
      • License filing - two year term: $1,070 (effective March 1, 2015 this fee will be $1,178), the fee for a special line's surplus line broker business entity license. 
      • Renewal Fee - two year term: $1,070 (effective March 1, 2015 this fee will be $1,178), the fee for a special line's surplus line broker business entity renewal. 

Note: Applicants applying for both Surplus Line Broker and Special Lines' Surplus Line Broker need only submit one filing fee.

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Filing Requirements: Individual - Non-Residents

  • Application Apply for an insurance license online - Go to the Fast Licensing Application Service is Here (FLASH) for both resident and nonresident applicants to apply for an insurance license online. This link takes the applicant to the procedures of how to file an application online. If you already know how to use the online application service, use the following link to go directly to the FLASH online application
  • Bond: Special lines' surplus line brokers who are only transacting on behalf of a licensed surplus line broker business entity are not be required to file a $10,000 special lines' surplus line broker bond. All other special lines' surplus line brokers must comply with the $10,000 bond requirement.
  • A bond of Special Lines' Surplus Line Broker form LIC 447-31, in the penal sum of $10,000 executed in California, by a California admitted surety and accompanied by a jurat and a power of attorney for attorney in-fact executing bond; completed in the name of the applicant and signed by the applicant.
  • Additional Documents: The Insurance Commissioner may require such other documents as will aid in determining whether the applicant meets the qualifications for a license.
  • Fees: Individual - Non-Residents:
      • License filing - two year term: $534 (effective March 1, 2015 this fee will be $588), the fee for an individual special lines' surplus line broker who only transacts on behalf of a special lines' surplus line business entity.
      • License filing - two year term: $1,070 (effective March 1, 2015 this fee will be $1,178), the fee for an individual special lines' surplus line broker who has a special lines' surplus line $10,000 bond on file.    
      • Renewal Fee - two year term: $534 (effective March 1, 2015 this fee will be $588), the fee for an individual special lines' surplus line broker who only transacts on behalf of a special lines' surplus line broker business entity.
      • Renewal Fee - two year term: $1,070 (effective March 1, 2015 this fee will be $1,178), the fee for an individual special lines' surplus line broker who has a special lines' surplus line $10,000 bond on file.

Filing Requirements: Business entity - Non-Residents

  • Business Entity Application:  Any legal entity, other than an individual, may qualify for a business entity license. Applicants must submit the Application for Business Entity license form LIC 441-11.
  • Bond: A Bond of Special Lines' Surplus Line Broker form LIC 447-31, in the penal sum of $10,000 executed in California, by a California admitted surety and accompanied by a jurat and power of attorney for attorney in-fact executing bond; completed in the name of the applicant and signed by the applicant.
  • Natural Person Named On Business Entity: Apply for an insurance license online - Go to the Fast Licensing Application Service is Here (FLASH) for both resident and nonresident applicants to apply for an insurance license online. This link takes the applicant to the procedures of how to file an application online. If you already know how to use the online application service, you may select the following link to go directly to the FLASH online application. (Individual filing requirements must be met). Note: We do not require a bond issued in the name of the natural persons named under the Business Entity.
  • Additional Documents: The Insurance Commissioner may require such other documents as will aid in determining whether the applicant meets the qualifications for a license.
  • Fees: Business Entity - Non-Residents:
      • License Filing - two year term: $1,070 (effective March 1, 2015 this fee will be $1,178), the fee for a non-resident special line's surplus line broker business entity license.
      • Renewal Fee - two year term: $1,070 (effective March 1, 2015 this fee will be $1,178), the fee for a non-resident special line's surplus line broker business entity renewal. 
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License Term:

Pursuant to Section 1630 of the California Insurance Code, licenses are issued for two year terms. Specifically, the term of the first license begins the date the license is issued and expires the last day of that same calendar month two years later. Any additional licenses issued at a later date will expire at the same time as the initial license. 



Renewal of License:

Notice - Changes to License Renewals

The California Department of Insurance (CDI) discontinued mailing renewal notices to individuals and business entities licensed through CDI's Producer Licensing Bureau. CDI now emails licensees a renewal notification to their email address on record. The email notification includes the license number, license term, license type, and information regarding any continuing education requirements. You can update your email address using CDI's Online Address Change service.

Individuals and business entities who do not receive the email notification will need to complete and mail the applicable renewal forms included here. For individuals you may complete the Application to Renew Individual License form LIC 448-29A and for business entities the Application to Renew Business Entity License form LIC 448-29B.

Any licensees that renew their licenses late will be required to pay a 50 percent penalty fee and file new company appointments and/or business entity endorsements or solicitor appointment (if applicable). "Late" is defined as any renewal for which the requirements to renew (for CA residents this includes completing the ethics and continuing education hours) are not met until after the expiration date of the previous license term.  Use this link Late Renewal - What to Do to find out how to late renew your license.

Note: Pursuant to Section 1656 of the California Insurance Code a non-resident business entity must have at least one active endorsee from a state other than California to renew the business entity license.


Additional Information:

Federal law (Title 18 United States Code Section 1033) prohibits anyone who has been convicted of a felony involving dishonesty or a breach of trust from conducting the business of insurance unless they have obtained the written consent of the Insurance Commissioner. It is a violation of this statute to conduct business of insurance without the Commissioners written consent. If you have been convicted of a felony involving dishonesty or a breach of trust then you must attach a copy of this consent. If you have not obtained this written consent you must do so by filing a 1033 Short Form Application for Written Consent prior to filing your application.

Financial Security Requirements for Limited Liability Companies Notice 
Limited liability companies (LLC's) are required to provide proof of satisfying the security requirements of Section 1647.5 of the California Insurance Code when applying for an insurance license and once licensed, must also file with the Commissioner an annual confirmation of coverage demonstrating continued compliance with the financial security requirements. Additional information regarding these requirements is contained in the public notice linked on this page. 

For additional LLC application filing information, annual certification of coverage information, and links to forms that can be used as proof of fulfilling the security requirements please go to the following link: Business Entity Limited Liability Company Requirements.

To obtain insurance licensing forms by mail, e-mail your request to Producer Licensing Bureau.

To obtain insurance licensing information, you may phone the Producer Licensing Bureau at (800) 967-9331.

All Special Lines' Surplus Line Broker fees and documents must be mailed to: Department of Insurance, Attention: SP Licensing, P.O. Box 1139, Sacramento, CA 95812-1139.

Frequently Asked Questions (FAQ'S)

Pursuant to Section 1751.5 of the California Insurance Code all fees are not refundable, whether or not the application is acted upon or the examination taken.

LIC 656-A (Rev. 4/2013)

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