Investment Advisor Bond

Most states require a Financial Advisor / Investment Advisor Bond as a guarantee that financial and investment advisors comply with the state’s respective rules and regulations governing this license. Put simply, this type of bond indemnifies the obligee against financial losses incurred as a result of inappropriate or unethical actions on the part of the financial advisor. Generally, ‘investment advisors’ include anyone in the financial industry who are compensated for providing advice to consumers about the investment of funds and/or the creation of wealth, and who present themselves as qualified to perform these functions.

Application Information

Surety Support Services, Inc. handles Financial Investment Advisor Bonds for clients in most states. Complete the Commercial Application to get started. Please note: in addition to our commercial bond application, we may need to request the business and personal financial statements of the owner(s) and copy of any statute or ordinance that’s requiring the bond and/or a bond form.