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Oregon Investment Advisor & Broker-Dealer Bonds


Oregon Investment Adviser Bond Information

Investment advisors in Oregon must furnish and maintain a $10,000 surety bond as part of the licensing requirements. The bond is required by the Oregon Department of Consumer & Business Services, Division of Finance & Corporate Securities. It 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 Oregon Securities Law.

How Much Does an Investment Adviser Bond Cost in Oregon?

Investment Advisor / Broker-Dealer Bond

$10,000 Bond

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Other Helpful Information and Links

Oregon Division of Finance and Corporate Securities (DFCS)

Surety Bond Form - Oregon Department of Consumer & Business Services Division of Finance & Corporate Securities — Securities Section

Oregon Department of Consumer & Business Services
Division of Finance & Corporate Securities — Securities Section 350 Winter St. NE, Room 410, Salem, Oregon 97301-3881 Mailing address: P.O. Box 14480, Salem, OR 97309-0405
(503) 378-4140 • Fax: (503) 947-7862 • TTY: (503) 378-4100 www.oregondfcs.org