South Carolina Investment Adviser/Broker-Dealer Bond
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How much does an investment adviser surety bond cost in South Carolina?
Investment adviser surety bonds are required by the State of South Carolina. The required amount is $35,000.
These bonds are credit-based, which means the premium depends on a review of the applicant’s credit report. SuretyBonds.com offers premiums for these bonds for as little as 1% of the total bond amount. Apply today for a free, personalized surety bond quote.
Our team of bond professionals works hard to get you the South Carolina investment adviser bond you need quickly, easily, and accurately.
Why do I need this bond?
South Carolina investment adviser bonds ensure that investment advisers comply with all rules and regulations stated in South Carolina Uniform Securities Act. This bond protects the consumers from financial loss if the adviser fails to adhere to all terms of the surety contract.
What’s the fine print?
Investment adviser/broker-dealer bonds are in effect for one year and must be renewed annually. The surety has the right to cancel the bond if it gives 30 days’ written notice to the principal and obligee.
How to become an investment adviser in South Carolina
Along with posting a surety bond, an applicant must submit the following:
- Proper fees and payments
- Completed verification form
- Passing grade on examination
For more information and regulation information, refer to the "Additional Resources" section below.
To become registered, investment advisers must obtain a surety bond.
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