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

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