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New Jersey Investment Advisor / Broker-Dealer Bond

New Jersey 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.

Registration as an investment advisor in New Jersey for persons who have custody of clients’ funds or securities requires minimum capital of $35,000 or a surety bond in the amount of $35,000. Advisors with custody of clients’ funds or securities who only make direct fee deductions or advise pooled investment vehicles may be exempt from the requirement. The bond is written for a two year term and may be canceled by the surety company with 90 days written notice to the Chief of the Bureau of Securities.

How Much Will My Surety Bond Cost?

Take 2 minutes to provide the basic information required to get the best rates for your New Jersey 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.

What Does the Bond Protect Against?

The bond ensures professional and ethical conduct related to the sensitive financial job functions of handling clients' funds and securities. The surety bond protects customers against financial losses in the event that the advisor mishandles clients' funds or securities, or violates other securities regulations.

List of New Jersey surety bonds.

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