Skip Navigation

New Jersey Investment Advisor & Broker-Dealer Bonds

Get Started »
Rated the Best Overall surety Company 2021, 2022, 2023, and 2024
Google 5-star Rating BBB A+ Accreditation

What is a New Jersey Investment Advisor / Broker-Dealer Bond?

Registration as an investment advisor in New Jersey for persons who have custody of clients’ funds or securities requires minimum capital of $35,000 or a surety bond in the amount of $35,000. Advisors with custody of clients’ funds or securities who only make direct fee deductions or advise pooled investment vehicles may be exempt from the requirement. The bond is written for a two year term and may be canceled by the surety company with 90 days written notice to the Chief of the Bureau of Securities.

Get a Free Quote for Your New Jersey Investment Advisor or Broker-Dealer Bond Today

Investment Advisor / Broker-Dealer Bond

$35,000 Bond

Get a Free Quote Takes 2 MinutesPrices require individual quotes. Usually from 0.5% to 3% of the bond amount

Can't find what you need?

Let our bond experts help!

Get Started »
No obligation, takes 2 minutes

If you'd prefer, call us at 1-800-608-9950

Why is a New Jersey Investment Advisor or Broker-Dealer Bond Required?

The bond ensures professional and ethical conduct related to the sensitive financial job functions of handling clients' funds and securities. The surety bond protects customers against financial losses in the event that the advisor mishandles clients' funds or securities, or violates other securities regulations.

Can't find what you're looking for? Let us help!

Get Started » or, if you'd prefer, call us at 1-800-608-9950
(No obligation, takes 2 minutes)