Kentucky Investment Advisor & Broker-Dealer Bonds
Kentucky Investment Advisor / Broker-Dealer Bond Information
The Kentucky Department of Financial Institutions requires investment advisers to maintain a surety bond in order to practice in the state. 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.