Investment Advisor Surety Bond

An Investment Advisor Surety Bond is a license bond required by many states of those who provide financial advice for a fee.  The bond financially guarantees you will perform according to the laws & regulations governing your license.  If you are getting licensed in multiple states then you will need to get a separate investment advisor bond for each state license.  If your state does not require a surety bond to obtain your license then there is no reason to get one.

Typically, these bonds renew annually.  The state sets the bond amount and and you will need to keep the bond in place as long as you keep your license.  Underwriting determines the annual premium rate (your cost), which is often 1-2% of the bond amount.  Usually, the underwriting requirements are just a simple one-page application used to soft pull your credit, although occasionally additional information may be required.

You need to get your investment advisor license so you can go help your clients with great financial advice.  We can help you get this bond done today.

This bond is also sometimes called a:

  • Financial advisor surety bond
  • Registered investment advisor (RIA) surety bond
  • Blue sky surety bond (although this is actually a different license & bond type)