Colorado Broker-Dealer or Investment Adviser Bond
SECURE
Backed by SSL, our online bonding process is secure. We are committed to your privacy.
BEST PRICES
We shop the top surety markets to find you the best rate.
FAST
We’ve streamlined the bonding process to make your experience as fast and easy as possible.
How much does an investment adviser bond cost in Colorado?
Colorado broker-dealer or investment adviser bond costs start at $150 annually. Your exact premium will be determined after a quick application review.
How do I get a Colorado broker-dealer or investment adviser surety bond?
You can apply for your Colorado broker-dealer or investment adviser surety bond online 24/7. Simply provide you name, address, and license type for Colorado Division of Securities filing approval. Once your order has been processed, your official bond will be delivered by email.
How long does it take to get an investment adviser or broker-dealer bond?
Our industry-leading technology and responsive customer service team allow us to offer free quotes and deliver your official Colorado investment adviser or broker-dealer bond faster than any other surety provider. Orders placed by 4 PM CST Monday-Friday are typically processed with same-day emailed bond delivery.
If you have questions about the broker-dealer or investment bond or your application, call 1(800)308-4358 to speak with a friendly surety expert. We're here to guide you through the financial bond process so you can get back to running your business.
What is a Colorado broker-dealer or investment adviser bond?
Code of Colorado Regulations Rule 51-4.13(IA) requires investment advisers with discretionary authority who don't meet the minimum liquid net worth requirements to file a surety bond. Similarly, Rule 51-4.6 requires broker-dealers who don't maintain the minimum net liquid assets and net worth requirements to be bonded. The surety bond ensures broker-dealers and investment advisers abide by any applicable law and securities regulation when working in the state.
Who regulates licensing for broker-dealers and investment advisers in Colorado?
The Colorado Division of Securities enforces licensing requirements for broker-dealers and investment advisers working in the state. You can contact the Division by phone at 1(303)894-2320 or email at [email protected].
The Colorado Division of Securities requires this bond for state broker-dealer and investment adviser licensing. If you work as an investment adviser or broker dealer in other states, we also offer investment adviser bonds nationwide.
How does a broker-dealer bond protect consumers in Colorado?
A Colorado broker-dealer or investment adviser surety bond protects consumers who suffer financial harm or damage as a result of the bonded individual's noncompliance with applicable securities statutes. The issuing surety company will cover damages for valid claims up to the full bond amount, which the bondholder is required to reimburse.
What is the coverage of an investment adviser bond in Colorado?
Investment advisers required to file a surety bond must be bonded in the amount of their net worth deficiency rounded up to the nearest $5,000. Broker-dealers who must be bonded have a fixed bond amount of $50,000 required of them.
How do I update or change my surety bond?
If the Division of Securities 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 following personal information.
- name
- address
- license type
What is the renewal process for a broker-dealer bond in Colorado?
Your broker-dealer or investment adviser bond in Colorado must be renewed at the end of its current term. Once you pay your SuretyBonds.com renewal invoice, renewal instructions will be sent to keep your bond active for your next license term.
How do I get an investment adviser or broker-dealer license in Colorado?
The following must be completed to apply to be a licensed investment adviser.
- Submit an IARD Entitlement Form (if you haven't previously registered to use the IARD system).
- File a surety bond (if required).
- Pay all licensing fees through IARD.
- Submit your completed Form ADV through your IARD account.
- Email sample contracts and documentation you plan to use with clients to [email protected].
Complete the steps below to get your Colorado broker-dealer license.
- File a completed Form BD.
- Complete a Consent of Service of Process form.
- Satisfy the minimum financial responsibility requirements.
- Pay the $85 security fee to the following address.
Attn: Annastasia Valencia
Colorado Division of Securities
1560 Broadway, Suite 900
Denver, CO 80202
Broker-dealer licensure application documents should be emailed to [email protected].
Have Questions?
Call 1 (800) 308-4358 to talk with a Surety Expert today.
