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New Jersey Investment Adviser Bond

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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
$10,000Investment Adviser BondDoes not have custody of client funds or securities and has minimum capital of less than $10,000
$35,000Investment Adviser BondCustody of client funds or securities and has minimum capital of less than $35,000

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 New Jersey

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?

Call 1 (800) 308-4358 to talk with a Surety Expert