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Investment adviser bond cost

The Maine Department of Professional and Financial Regulation requires investment advisers to post $10,000 surety bonds to legally work within the state.

These bonds are subject to underwriting, which means the amount you’ll pay for your bond depends on a review of your personal credit report. With good credit clients could pay as low as $100 for their bond! Don’t let less-than-stellar credit stop you from getting the bond you need.

Contact one of our surety specialists to receive a free, personalized bond quote within 1 business day of applying. Call 888.610.4474, or click here, to begin the bonding process


Why this bond

Investment adviser bonds in Maine exist to protect customers from any and all fraudulent activity that may occur at the hand of a principal (investment adviser). By posting this bond, principals agree to abide by all of the provisions of the Maine Revised Statutes. Prohibited acts under this bond include:

  • recommending services that won’t be beneficial for the customer
  • purchasing security for a client without permission to do so
  • loaning money to a client without the license and classification to do so
  • misrepresentation in any way
  • and more

Our experts have been instructed by the state to issue the Maine investment adviser surety bond on the generic license and permit surety bond form. We have this form on file to expedite the bonding process.All Maine investment adviser bonds must be notarized.

Become an investment adviser

Posting an investment adviser bond in Maine is just the first step toward becoming legally licensed to work in the state. After obtaining a $10,000 surety bond, applicants must be fingerprinted, complete a background and submit all necessary forms to the department.

Apply for your surety bond

Get a FREE Maine investment adviser Bond Quote Today! Click here to begin


Additional Information