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California Investment Advisor Bond

What is a California Investment Advisor Bond?

Investment advisors must post a surety bond as part of the licensing requirements. The bond ensures professional and ethical conduct related to the sensitive financial job functions of providing consumers with investment advice, financial planning, securities analysis, and asset protection strategies. The bond protects customers against financial losses in the event that the advisor violates fiduciary duties or license regulations.

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Investment Advisor Bond

$10,000 Bond

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