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Washington Investment Adviser Bond

How much does an investment adviser bond cost in Washington?

The Washington Department of Financial Institutions requires investment advisers to post surety bonds to legally work within the state. The required bond amount varies based on the volume of funds the adviser has authority over. Applicants should verify their required bond amount with the state prior to bonding.

These bonds are subject to underwriting, which means the price you’ll pay is based not only on your required amount of bond coverage but also on a review of your personal credit report. 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 by Credit Score*
680 and up 679 - 600 599 or lower
Investment Adviser Bond Varies Starts at 1% 5-8% 10%+ 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.

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.

Why do I need this bond?

Washington investment adviser bonds ensure that principals (investment advisers) perform all obligations as an investment adviser licensed under the Securities Act of Washington according to law. Specifically, the bond guarantees that the principal accounts for all monies 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. If the claim is validated, the bond protects consumers from financial loss up to the full bond amount.

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

What’s the fine print?

Investment adviser bonds in Washington are continuous until canceled. The surety can cancel the bond at any time by giving the principal and the Administrator of Securities 30 days’ written notice of termination.

How to become an investment adviser in Washington

Prior to applying for registration as an investment adviser in Washington, applicants must pass specific exams and tests. Applicants must then register online and complete and submit all required forms and fees.

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!

Ready to get started?

Get a FREE Investment Adviser Bond Quote Today!

Washington State Department of Financial Institutions Investment Adviser Surety Bond form

Application for Investment Adviser Registration

Washington State Department of Financial Institutions State-Registered Investment Adviser Registration and Renewal Check Sheet

Chapter 21.20 Revised Code of Washington Securities Act of Washington

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