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Investment Advisor & Broker-Dealer Bonds


What is an Investment Advisor / Broker-Dealer Bond?

Investment advisors and broker-dealers often must post a surety bond as part of the licensing or registration requirements. The bond ensures professional and ethical conduct related to the sensitive financial job functions of handling client securities and funds, providing investment advice, financial planning, and securities analysis. The surety bond protects customers against financial losses in the event that the advisor misuses or misapplies funds, violates fiduciary duties or license regulations.

Investment Advisor or Broker-Dealer Bonds by State

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AlabamaInvestment Advisor / Broker-Dealer BondGet Your Bond »
AlaskaInvestment Advisor / Broker-Dealer BondGet Your Bond »
ArkansasInvestment Advisor / Broker-Dealer BondGet Your Bond »
CaliforniaInvestment Advisor BondGet Your Bond »
ColoradoInvestment Adviser BondGet Your Bond »
DelawareInvestment AdvisorGet Your Bond »
District of ColumbiaInvestment Advisor / Broker-Dealer BondGet Your Bond »
FloridaInvestment Advisor / Broker-Dealer BondGet Your Bond »
IdahoInvestment Adviser or Securities Agent Indemnity BondGet Your Bond »
KansasInvestment Advisor / Broker-Dealer BondGet Your Bond »
KentuckyInvestment Advisor / Broker-Dealer BondGet Your Bond »
MaineInvestment Advisor / Broker-Dealer BondGet Your Bond »
MarylandInvestment Advisor / Broker-Dealer BondGet Your Bond »
MassachusettsInvestment Adviser BondGet Your Bond »
MichiganInvestment Adviser BondGet Your Bond »
MinnesotaInvestment Advisor / Broker-Dealer BondGet Your Bond »
NebraskaBroker-Dealer/ Investment Adviser BondGet Your Bond »
New JerseyInvestment Advisor / Broker-Dealer BondGet Your Bond »
North CarolinaInvestment Advisor / Broker-Dealer BondGet Your Bond »
OhioSecurities Dealer BondGet Your Bond »
OregonInvestment Adviser BondGet Your Bond »
PennsylvaniaInvestment Advisor / Broker-Dealer BondGet Your Bond »
South CarolinaBroker-Dealer and Investment Adviser BondGet Your Bond »
TennesseeInvestment Advisor / Broker-Dealer BondGet Your Bond »
UtahInvestment Advisor/ Corporate Indemnity Bond of Broker-DealerGet Your Bond »
VirginiaBroker Dealer or Investment Advisor Surety BondGet Your Bond »
WashingtonInvestment Advisor BondGet Your Bond »
West VirginiaInvestment Advisor / Broker-Dealer BondGet Your Bond »

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