Oregon — Investment Adviser Bond
An Oregon-based state investment adviser must file and maintain $10,000 of approved security under Rule 441-175-0110. The rule permits a surety bond or a qualifying letter of credit. This offering is the bond route; use the actual licensed principal and Oregon's accepted form.
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- Recorded state
- Oregon
- Bond type
- Broker-Dealer / Investment Adviser Bond
- Category
- Financial services
What this bond does
Oregon's Form 5650 secures compliance with Oregon Securities Law by the principal and its agents and employees. If a violation causes damages that the principal does not pay, the surety's obligation is limited to the $10,000 aggregate sum.
- Who needs it
- An applicant or licensee regulated as an Oregon-based state investment adviser. Confirm that licensing status rather than assuming every adviser doing business in Oregon uses this form.
- Who it protects
- The undertaking binds the principal and surety to the State of Oregon for the State and persons with a cause of action against the principal. It does not guarantee investment returns, and multiple claims do not increase its $10,000 total.
Your bond option
This is the option on record for this bond.
- Bond optionPurchase Now (opens in a new tab)Continue to our secure checkout partner, Propeller (opens in a new tab).
The bond amount describes the limit of the bond obligation, not the price. A listed amount does not establish what the requesting party requires. The premium is what you pay and must be confirmed for the actual option. An E&O limit, where listed, is separate errors and omissions insurance.
Sources
- Oregon Rule 441-175-0110: surety bond or letter of credit (opens in a new tab)Checked October 26, 2026
- Oregon DFR: Form 5650, investment adviser surety bond (opens in a new tab)Checked October 26, 2026
Have these ready
- Confirm Oregon-based state adviser status and the legal licensed principal.
- Obtain current Form 5650 and the Division's filing instructions.
- Match the $10,000 obligation and effective date.
- Arrange principal and authorized surety execution.
- Plan continued security and a formal release request if licensing ends.
Questions about this bond
Can I cancel the bond when I close the advisory business?
The rule requires maintenance for at least six years after licensing ends, and release is not automatic. The form's thirty-day cancellation provision is separate. Ask the Division how the continuing obligation applies before allowing the file to lapse.
Is a letter of credit the same purchase as this bond?
No. The rule permits a separate approved $10,000 letter of credit from an authorized financial institution. This page's provider application is for the surety bond; it does not establish a letter-of-credit facility.
What happens after Purchase Now?
Propeller's Oregon investment-adviser application opens in a new tab. Match the licensed principal, $10,000 State obligation and required dates. Review and execute the issued form and file it with the Division of Financial Regulation as directed. Provider checkout does not complete licensing or authorize release.