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Arkansas
Broker-Dealer, Investment Adviser, or Agent of the Issuer Bond

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Coverage Amount: $1,000 - $50,000
Term Length: 1 year
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Arkansas Broker-Dealer/Investment Adviser Bond Guide

If you’re registering to become an investment advisor, broker-dealer or securities agent in Arkansas, you’ll likely need this surety bond. 

Bond Overview

  • Purpose: To ensure advisors uphold laws and regulations to protect consumers 
  • Who Needs It: RIAs, broker-dealers and securities agents in Arkansas
  • Regulating Body: The Arkansas Securities Commissioner
  • Required Coverage: $1,000–$50,000
  • Premium Rate: 1–10% based on credit score

Learn all about the bonding process in this guide. 

What Is an Arkansas Broker-Dealer/Investment Adviser Bond?

An Arkansas investment advisor, broker-dealer or agent of the issuer bond holds these financial professionals financially liable for upholding state laws. 

The Arkansas Securities Commissioner requires this bond as part of the licensing process for registered investment advisors, broker-dealers or agents of the issuer in the state. 

How Much Do Investment Adviser Bonds Cost in Arkansas?

Arkansas investment advisor, broker-dealer or agent of the issuer bonds cost a small percentage of the bond amount required by the Securities Commissioner. 


Rates are typically 1–10% based on personal credit score. For example, a $25,000 bond could cost as low as $250. Apply for your free quote now!

Bond Type
$1,000-$50,000Broker-Dealer, Investment Adviser, or Agent of the Issuer Bond

SuretyBonds.com offers the lowest available rates from our nationwide provider network with no added fees. 

How Do I Get My Bond?

SuretyBonds.com provides the fastest and easiest way to get an Arkansas investment advisor, broker-dealer or agent of the issuer bond. Just follow these quick steps: 

  1. Apply: Submit an online quote request form
  2. Quote: Receive your quote within one day
  3. Sign: Complete the indemnity agreement 
  4. Buy: Purchase the bond online 24/7

We’ll email you the bond shortly after purchase. Be sure to file the bond with the Arkansas Securities Commissioner as instructed. 

If you have any questions, call our friendly surety experts at 1 (800) 308-4358 for assistance. 

How Does an Arkansas Broker-Dealer Bond Work? 

As with all surety bonds, an investment advisor or broker-dealer bond creates a legal contract between three parties: 

  1. Principal: You, the investment advisor, broker-dealer or agent of the issuer filing the bond
  2. Obligee: The Arkansas Securities Commissioner requiring the bond
  3. Surety: The provider issuing the bond

This holds you financially responsible for upholding all provisions of the Arkansas Uniform Securities Agent Law. 

If you break the bond terms, harmed parties can file claims. The surety will pay valid claims up to the bond amount, but you are ultimately responsible for refunding the surety. 

How Do I Renew My Bond?

These bonds expire annually. To renew your investment advisor, broker-dealer or agent of the issuer bond, simply pay your renewal invoice when prompted. 

We’ll begin contacting you by phone and email 90 days before the expiration date. 

More Resources

Call 1 (800) 308-4358 to talk with a Surety Expert

or

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