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New Jersey Investment Adviser Bond

How much does an investment adviser bond cost in New Jersey?

The New jersey Division of Consumer Affairs Bureau of Securities requires investment advisers to post surety bonds to legally work within the state. The required bond amount varies and is based on the volume of funds the adviser has authority over. Applicants must verify their required bond amount with the state prior to bonding.

Depending on the bond amount, an applicant with exceptional credit may qualify to pay a premium as little as 1% of the total bond amount. The best way to find out exactly how much you’ll pay is to apply for a free bond quote now!

Bond Type Bond Amount Cost*
$10,000 Investment Adviser Bond Does not have custody of client funds or securities and has minimum capital of less than $10,000 $10,000 Starts at $100 GET A QUOTE
$35,000 Investment Adviser Bond Has custody of client funds or securities and has minimum capital of less than $35,000 $35,000 Starts at $350 GET A QUOTE
*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.

Fill out our online bond request form or give us a call at 1 (800) 308-4358 to speak with a surety specialist. We can typically provide you with your free, no-obligation bond quote within 1 business day of submitting an application.

What is a New Jersey investment adviser bond?

New Jersey investment adviser bonds ensure that principals (investment advisers) perform all obligations as an investment adviser licensed under the New Jersey Uniform Securities Law. Specifically, the bond guarantees that the principal accounts for all money and securities entrusted to him or her for the use and benefit of consumers.

If the principal fails to conduct business lawfully, a claim can be filed against the bond. The bond protects consumers from financial loss up to the full bond amount if the claim is validated.

Ready to get bonded? Apply for a free bond quote now!

What’s the fine print?

The surety bond is in effect for one year and must be renewed annually unless claimed against or cancelled. A surety can cancel the bond if they give the principal and obligee 90-days’ written notice.

How to become an investment adviser in Washington

Along with posting a surety bond in the appropriate amount the applicant must also submit the following:

  • Proper forms and registration
  • An annual investment adviser exam
  • A $200 annual fee

For complete licensing and bond information, refer to the Additional Resources section below. Begin the licensing process by purchasing the surety bond you need!

Ready to get started?

Get a FREE Investment Adviser Bond Quote Today!

Additional Resources

Instructions For Investment Adviser Registration

Investment Adviser Forms

Investment Adviser Exam

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