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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 surety bonds in the event they do not meet minimum net worth requirements. The bond amount must be equal to the net worth deficiency rounded up to the nearest $5,000.

The cost of investment adviser bonds is determined based on a review of the applicant’s credit and will be calculated as a percentatge of the total bond amount. Highly qualified applicants may be approved for as little as 1-3% of the bond amount.

Bond Type Bond Amount Cost*
$5,000 Investment Adviser Bond $5,000 Starts at $100 Apply Now
$10,000 Investment Adviser Bond $10,000 Starts at $100 Apply Now
$15,000 Investment Adviser Bond $15,000 Starts at $150 Apply Now
$20,000 Investment Adviser Bond $20,000 Starts at $200 Apply Now
$25,000 Investment Adviser Bond $25,000 Starts at $250 Apply Now
$30,000 Investment Adviser Bond $30,000 Starts at $300 Apply Now
$35,000 Investment Adviser Bond $35,000 Starts at $350 Apply Now
$40,000 Investment Adviser Bond $40,000 Starts at $400 Apply Now
$45,000 Investment Adviser Bond $45,000 Starts at $450 Apply Now
$50,000 Investment Adviser Bond $50,000 Starts at $500 Apply Now
$55,000 Investment Adviser Bond $55,000 Starts at $550 Apply Now
$60,000 Investment Adviser Bond $60,000 Starts at $600 Apply Now
$65,000 Investment Adviser Bond $65,000 Starts at $650 Apply Now
$70,000 Investment Adviser Bond $70,000 Starts at $700 Apply Now
$75,000 Investment Adviser Bond $75,000 Starts at $750 Apply Now
$80,000 Investment Adviser Bond $80,000 Starts at $800 Apply Now
$85,000 Investment Adviser Bond $85,000 Starts at $850 Apply Now
$90,000 Investment Adviser Bond $90,000 Starts at $900 Apply Now
$95,000 Investment Adviser Bond $95,000 Starts at $950 Apply Now
$100,000 Investment Adviser Bond $100,000 Starts at $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 are investment advisers bonded?

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

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.

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How to become an investment adviser in Maine

Posting an investment adviser 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 Additional Resources 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!

Additional Resources

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

Department of Professional Financial Regulation Office of Securities Investment Adviser Licensing