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Bond types · Bond type
Securities Dealer / Investment Adviser Bond
Securities dealing and advisory duties should be matched to the registered role.
2 bonds
Purpose
Securities dealing and advisory duties should be matched to the registered role. 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
Securities Dealer / Investment Adviser Bond bonds
- Georgia — Securities Issuer BondGeorgia · Financial services
- Georgia — Securities Salesman BondGeorgia · Financial services
Before you buy
- Describe securities transactions, advice, and client-asset custody.
- List the activities performed and the legal entities performing them.
- Bring the licensing request and relevant account or application identifiers.
Common questions
Which registered capacity does the requesting authority identify?
Describe securities transactions, advice, and client-asset custody. 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.