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Maine Investment Adviser Bond

How much does an investment adviser bond cost in Maine?

The Maine Department of Professional and Financial Regulation requires investment advisers to post $10,000 surety bonds to legally work within the state.

These bonds are subject to underwriting, which means the amount you’ll pay for your bond depends on a review of your personal credit report. With good credit clients could pay as low as $100 for their bond! Don’t let less-than-stellar credit stop you from getting the bond you need. Apply for your free bond quote today!

Bond Type Bond Amount Cost by Credit Score*
680 and up 679 - 600 599 or lower
Investment Adviser Bond $10,000 Starts at $100 $500-800 $1,000+ Apply Now
*The bond premium rate quotes provided to you through this website are for pricing comparisons and quotation estimate purposes only. The bond rate quotes provided are based on general assumptions that may or may not be applicable to you and are subject to change at any time. These rate quotes do not constitute an offer of insurance, nor is any contract, agreement, or bond coverage implied, formed or bound by the provision of rate quotes. Bondability, final bond premium rate quotes and an offer of insurance, if any, will be determined by the insurance company providing your bond. You must contact us directly to obtain a quote for binding purposes.

Ready to be bonded quickly and easily? Fill out an online bond request form, or call 1 (800) 308-4358 to get started!

Why do I need this bond?

Investment adviser bonds in Maine exist to protect customers from any and all fraudulent activity that may occur at the hand of a principal (investment adviser). By posting this bond, principals agree to abide by all of the provisions of the Maine Revised Statutes. Prohibited acts under this bond include:

  • recommending services that won’t be beneficial for the customer
  • purchasing security for a client without permission to do so
  • loaning money to a client without the license and classification to do so
  • misrepresentation in any way
  • and more

Contact one of our surety specialists to get your free, no-obligation surety bond quote!

What’s the fine print?

Our experts have been instructed by the state to issue the Maine investment adviser surety bond on the generic license and permit surety bond form. We have this form on file to expedite the bonding process.

All Maine investment adviser bonds must be notarized.

How to become an investment adviser in Maine

Posting an investment advisr bond in Maine is just the first step toward becoming legally licensed to work in the state. After obtaining a $10,000 surety bond, applicants must be fingerprinted, complete a background and submit all necessary forms to the department.

Complete licensing information can be accessed via the Important Links section of this page. Begin the licensing process by purchasing the surety bond you need! Let our experts do all of the hard work for you.

Ready to get started?

Get a FREE Investment Adviser Bond Quote Today!

Maine Department of Professional and Financial Regulation Office of Securities Licensing and Registration

Department of Professional Financial Regulation Office of Securities Investment Adviser Licensing

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