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Investment Advisor Surety Bond

Guide to Bonding for Investment Advisors

  • Experts in bonding Financial Advisors
  • 100% Secure Online Application
  • Lowest Rates for Investment Advisors
  • Have bad credit? No problem!

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How Do I Get My Bond?

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What are Investment Advisor Surety Bonds?

Investment Advisor Surety Bonds are required by most states in order to guarantee that financial and investment advisors comply with the state’s respective rules and regulations governing this license. While definitions may vary slightly by state, these advisors are broadly defined as individual who for compensation provide advice to others regarding the investment of funds or the creation of wealth to be needed in the future, and who present themselves as qualified to perform these functions. Such advisors clearly have a fiduciary duty to their clients.

Questions about Investment Advisor Surety Bonds

How much does an Investment Advisor Surety Bond cost?

Annual premium is determined based on owner personal credit. Owners with strong credit are typically approved between 1% to 3% of the bond amount.

If the owner has bad credit, or significant past due items on their credit report, annual premium typically ranges between 5% to 15% of the bond amount. For most states, we're able to keep our high risk programs below 7.5%.

For more information on cost associated with getting bonded, visit our page on Bond Prices.

How do I get an Investment Advisor Surety Bond?

First, you can apply for one on our website in just minutes. Once you’ve been approved, your agent will provide you with the bond premium due, along with an agreement with the surety. Once you’ve paid for your bond, and provided a signed copy of the indemnity agreement, your Collection Agency Bond will be mailed out to you.

Can I get approved for a Investment Advisor Surety Bond if I have bad credit?

Yes. While most bond companies only offer quotes to customers with a strong credit history, Lance Surety has a variety of investment advisor bond programs that allows us to approve over 99% of applicants instantly through our online application. Your annual premium will depend on your individual credit profile, but we’re able to offer very aggressive rates.

What is a Blue Sky Bond?

While closely related to Financial Advisor Bonds, Blue Sky Bonds are required more specifically to regulate the sale of securities governed by Blue Sky Laws. These bonds guarantee that security dealers do not sell fradulent securities.

Will my Investment Advisor Surety Bond work for multiple states?

Unfortunately, no. Each bond is filed with a specific state, and issued on their specific bond form. To ensure compliance, you'll need to check with each state that you plan on conducting business in to see if they have a bond requirement as part of the license application.

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Find Your Surety Bond

  • Alabama
    Uniform Surety Bond
    Securities Commission
  • Hawaii
    BOND FOR INVESTMENT ADVISER IN SECURITIES
    Department of Commerce and Consumer Affairs
  • Idaho
    INDEMNITY BOND FOR INVESTMENT ADVISER
    Idaho Department of Finance, Securities Bureau
  • Kansas
    Uniform Surety Bond Form
    Securities Commissioner
  • Kentucky
    Investment Advisors
    Department of Financial
  • Maine
    Uniform Surety Bond
    Maine Securities Division
  • Maryland
    Investment Advisor
    Securities Commissioner
  • Massachusetts
    Uniform Surety
    State of Massachusetts Securities Division
  • Minnesota
    Investment Advisor
    State Of Minnesota
  • Nebraska
    Bureau of Securities Bond
    Nebraska Department of Banking and Finance
  • North Carolina
    Investment Advisor's
    NC Secretary of State
  • Oregon
    Investment Advisor Surety
    Oregon Department of Consumer & Business Services
  • Pennsylvania
    Uniform Surety Bond
    PA Securities Commission
  • South Carolina
    BROKER-DEALER AND INVESTMENT ADVISER SURETY
    State of South Carolina
  • South Carolina
    Investment Advisor (Blue Sky)
    State of South Carolina
  • South Carolina
    BROKER-DEALER AND INVESTMENT ADVISER SURETY
    State of South Carolina
  • South Dakota
    Uniform Surety Bond
    Division of Securities
  • Tennessee
    Investment Advisor Bond
    State of Tennessee Securities
  • Utah
    Investment Advisor
    State of Utah-Dept of Commerce- Div of Securities
  • Utah
    Corporate Indemnity Bond of Investment Adviser
    State of Utah
  • Vermont
    Investment Advisor Bond
    Department of Financial Regulation
  • Washington
    Investment Adviser Surety
    WA Securities Division

Still Have Questions? Check Our FAQ Pages

What Our Clients Have To Say?

Kimberlee Ables
Quick response times and turn around for issuing bonds. Great customer service and very knowledgeable. We have used Lance Surety multiple times and have never been disappointed. Highly recommend them and Collette!
Andrew Poincot
Long story short, these guys cut through the B.S. and get the job done. Responsiveness, excellent! Communication, excellent! Respect for their industry partners, excellent! John, Collette, Ryan, you're all-stars! Thank you!
Margie Martinez
We decided for Lance Surety Bond's quote for 2 reasons; Price and Customer Service. Our Representative Ryan was just SUPERB!! [...] I highly recommend Lance Surety Bond for all your Bonding needs! I'll definitely come back for all of mine. :-) Thanks Ryan!