Investment Advisor Surety Bond

How do I get an investment advisor surety bond?

  1. Submit a Free Online Application, call 800-901-3099 or email us
  2. We provide a free quote
  3. Buy the bond

What is the cost to get an investment advisor surety bond?

The annual premium rates often fall between 1% – 2% of the bond amount. Our high volume allows us to provide the best rates.

How long will it take to get an investment advisor surety bond?

You can get an electronic copy the same day & the original bond in your hand by the next morning in most cases. The underwriting is typically a simple one-page application used to soft pull your credit, although occasionally additional information may be required.

What is an investment advisor surety bond?

Investment advisor surety bonds are license bonds 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.

Why do I need an investment advisor surety bond?

It is required for licensing by certain states to remain in compliance with the applicable laws & regulations set by that state.

When do I need an investment advisor surety bond?

Most often you will need to give the Obligee a fully executed bond before they will complete the licensing process.

What should I do with an investment advisor surety bond?

First, sign the original bond we send you as indicated by the included signature flags. Then send the complete, original bond to the Obligee along with any other paperwork they require.

Other names for investment advisor surety bonds:

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)

You need to get your investment advisor license so you can go help your clients with great financial advice. Get your bonds today by: Free Online Application, call 800-901-3099 or email us.