How Much Does an Investment Advisor or Broker-Dealer Bond Cost in North Carolina?
Investment Advisor / Broker-Dealer Bond
$35,000 Bond
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Getting Your North Carolina Business License or Registration
Investment advisers subject to registration with the North Carolina Secretary of State must file electronically through the IARD system operated by FINRA. For questions relating to FINRA or the Web CRD/IARD systems, please call the Gateway Call Center at (240)386-4848.
General requirements for initial registration include:
- File Form ADV (Parts 1&2) electronically via the IARD system.
- Ensure that at least one member of Schedule A complies with 18 NCAC 06A.1709.
- Pay filing fee through IARD system.
- Submit any financial reporting required by 18 NCAC 06A.1709.
- Submit any other information requested by the Securities Division such as a surety bond.
Other Helpful Information and Links
North Carolina Secretary of State Investment Advisor Registration