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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.

How Much Does an Investment Advisor or Broker-Dealer Bond Cost in Kentucky?

Broker-Dealer Bond
Investment Advisor Bond

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