Investment Advisor Surety Bond

Guide to Bonding for Investment Advisors

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How Do I Get Bonded?

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

We offer all types of surety bonds in all 50 states. If you can't find your bond in the table below, select "General business license or permit bond (not listed otherwise)" and start your application.
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

About Us

Lance Surety Bonds
Lance Surety Bond Associates, Inc. is a Pennsylvania-based surety bond agency that offers bonding at competitive rates in all 50 states. Established in 2010, our company has grown to become one of the top online bond producers in the country. Working exclusively with A-rated and T-listed bonding companies gives us the confidence to offer a 100% money-back guarantee. read more

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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!

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