Arizona Arizona Investment Adviser Bond
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What is the cost of an Arizona investment adviser bond?
Arizona investment adviser bond costs start at $150 annually. Your personal surety bond cost will be provided after a quick application review.
What are the steps to apply for an Arizona investment adviser bond?
You can apply for your Arizona investment adviser bond online 24/7. Simply provide your name and address for Arizona Securities Division filing approval. Once your payment has been processed, your official bond will be delivered to your email.
How fast can I get an investment adviser surety bond?
Our industry-leading technology and responsive customer service team allow us to offer free quotes and deliver your official Arizona investment adviser bond faster than any other surety company. Orders placed by 4 PM CST Monday-Friday are typically processed with same-day emailed investment adviser bond delivery.
If you have questions about the Arizona investment adviser bond or your application, call 1(800)308-4358 to speak with a friendly surety expert. We're here to guide you through the bond process so you can get back to running your business.
What is the Arizona investment adviser bond?
The Arizona investment adviser surety bond is not currently a state registration requirement. However, advisers can choose to get this bond to protect consumers from potential harm or damage as a result of the investment adviser's noncompliance. The bond ensures the adviser follows state legislation and the terms of their license when conducting investment services. If they fail to do so, their issuing surety company will pay valid claims up to the full bond amount, which the bonded investment adviser is required to reimburse.
Who regulates licensing for investment advisers in Arizona?
The Arizona Corporation Commission Securities Division enforces licensing requirements for investment advisers working in the state. You can contact the Division by calling 1(602)542-4242 or emailing [email protected].
The Arizona Corporation Commission requires this bond for state investment adviser licensing. If you work as an investment adviser in other states, we also offer investment adviser bonds nationwide.
How do I update or change my bond form?
If the ACC Securities Division requires your bond form to be updated for any reason, contact your surety company. If you purchased your bond from SuretyBonds.com, email [email protected] to explain the needed change. The most common changes for these bonds include updating the adviser's name or address.
What is the process for renewing an Arizona investment adviser bond?
You must renew your Arizona investment adviser surety bond before its current term expires. Once you pay your SuretyBonds.com renewal invoice, instructions will be provided to you to keep your bond active for your next license term.
How do I get an investment adviser license in Arizona?
Complete the steps below to become a licensed investment adviser in Arizona.
- Upload your completed Form ADV to IARD.
- Complete the Affidavit of Adviser Activity in Arizona.
- Submit payment for the $250 fee through IARD.
- Provide an audited balance sheet (if applicable).
- Provide proof of a written advisory agreement.
Sole proprietors must also provide the documentation below for investment adviser registration.
- fingerprint cards and $22 processing fee (if not already filed)
- proof of passed written examination
- evidence of lawful presence
What happens if a claim is filed on the investment adviser bond?
Anyone who suffers financial harm or damage as a result of a bonded individual's noncompliance can file a claim against the adviser surety bond. The issuing surety company will cover damages for valid claims up to the full bond amount, which the financial professional is required to reimburse.
Have Questions?
Call 1 (800) 308-4358 to talk with a Surety Expert today.
