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Massachusetts Investment Advisor / Broker-Dealer Bond

Massachusetts Investment Advisor / Broker-Dealer Bond

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Who Requires the Investment Advisor / Broker-Dealer Bond and Why Is It Needed?

Tablet. Investment Advisor / Broker-Dealer Bond for those licensed to provide consumers with investment advice and financial planning.

An Investment Adviser Surety Bond is required as part of the registration/licensing process to transact business in the Commonwealth of Massachusetts as a Broker-Dealer or Investment Adviser. The amount of the bond (i.e. coverage) required and the limit of liability is $10,000 pursuant to 90 CMR 12.205(5)(b). The surety bond ensures strict compliance with all applicable provisions of the securities statutes of the Commonwealth of Massachusetts.

 

How Much Will My Surety Bond Cost?

Take 2 minutes to provide the basic information required to get the best rates for your Massachusetts Investment Advisor / Broker-Dealer Bond. The quote request is free and there is no obligation to you. If you prefer, please call 1‐800‐608‐9950 to speak with one of our friendly bond experts. We can help guide you through the bonding process and identify the lowest cost in the market for your situation.

If you are interested in spreading out the cost of your bond over time, we can offer convenient financing plans for many types of surety bonds. More information will be provided with your quote.




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