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Bond types · Bond type

Broker-Dealer / Investment Adviser Bond

Securities transaction activity and investment advice are different licensed capacities.

Search within this collectionBrowse all 23

23 bonds

Purpose

Securities transaction activity and investment advice are different licensed capacities. A financial-services form may secure defined licensing duties or the proper handling of customer funds.

Who needs it

Licensed financial businesses and individuals identifying a bond for their actual regulated activity.

Who it protects

A licensing bond does not insure borrowers against every loss or establish that an investment or lending activity is approved.

Category

Broker-Dealer / Investment Adviser Bond bonds

Before you buy

  1. Bring registrations and describe custody or discretion over client assets.
  2. List the activities performed and the legal entities performing them.
  3. Bring the licensing request and relevant account or application identifiers.

Common questions

Is the applicant acting as a broker-dealer, adviser, or both?

Bring registrations and describe custody or discretion over client assets. Compare that information with the exact capacity, activity and obligee named in the written request. Similar catalog labels do not establish an interchangeable form.

Is a type guide the bond I should purchase?

A type guide explains the activity. Choose a jurisdiction-associated parent listing and compare its actual source options with your written requirement; the type page is not a purchasable form.

Recorded states

All 18 states

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