Investment Advisor & Broker-Dealer Bonds
Investment Advisor / Broker-Dealer Bond Information
Investment advisors and broker-dealers often must post a surety bond as part of the licensing or registration requirements. The bond ensures professional and ethical conduct related to the sensitive financial job functions of handling client securities and funds, providing investment advice, financial planning, and securities analysis. The surety bond protects customers against financial losses in the event that the advisor misuses or misapplies funds, violates fiduciary duties or license regulations.