Investment Adviser and Broker-Dealer Bond - Nebraska | SuretyBonds.com (Updated October 2018)

How much does an investment adviser or broker-dealer bond cost in Nebraska?

The Nebraska Department of Banking and Finance requires the state’s investment advisers and broker-dealers to post a $25,000 surety bond. Premiums are determined during an underwriting process that involves a review of the applicant’s credit report. Don’t worry if you have credit issues, though, because SuretyBonds.com can approve 99% of applicants through our exclusive bad credit bonding program.

The best way to determine your exact bond cost is to contact a surety expert by calling 1 (800) 308-4358. Or, contact us online now to request your free surety bond quote.

Bond Type	Bond Amount	Cost by Credit Score*
		680 and up	679 - 600	599 or lower
Investment Adviser or Broker-Dealer Bond	$25,000	Starts at $250	$1,250-2,500	$2,500+	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.

Why do I need this bond?

Nebraska investment adviser and broker-dealer bonds ensure that principals (advisers or broker-dealers) comply with the rules and regulations stated in Section 8 of the Securities Act of Nebraska. Some of these terms include:

working only once registered, and maintaining proper registration and bonding
employing only registered advisers
keeping stated place of business or notifying the Department of any changes
passing all necessary exams
keeping up-to-date records
avoiding any false or misleading advertising

For more information on Nebraska investment adviser and broker dealer bonds, contact a surety expert now!

What’s the fine print?

This bond form covers both investment advisers and broker-dealers, so applicants must indicate the desired license type during the bonding process. The principal’s signature must be witnessed by a licensed notary.

These bonds are effective for the entirety of the adviser’s registration period. The surety can only cancel the bond by giving 30 days written notice of cancellation to the Nebraska Department of Banking and Finance.

How to become an investment adviser or broker-dealer in Nebraska

To become a registered investment adviser in Nebraska, applicants must submit the following materials along with their application:

$200 application fee
completed Affidavit of Investment Adviser Activity in Nebraska form
current audited financial statement
copy of the adviser’s Articles of Incorporation
Corporate Resolution
$25,000 surety bond
promotional and/or disclosure literature

Detailed licensing information can be found in the “Additional Resources” section below.

Kickstart the registration process to become an investment adviser or broker dealer in Nebraska. Purchase your surety bond today to get started.

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Additional Resources

Nebraska Department of Banking & Finance, Bureau of Securities: Bond Form

Summary of Nebraska Investment Adviser Registration Requirements

Investment Adviser & Investment Adviser Representative Forms

Nebraska Revised Statutes 8-1103