Oregon Investment Advisor & Broker-Dealer Bonds

Investment advisors in Oregon must furnish and maintain a $10,000 surety bond as part of the licensing requirements. The bond is required by the Oregon Department of Consumer & Business Services, Division of Finance & Corporate Securities. It ensures professional and ethical conduct related to the sensitive financial job functions of providing consumers with investment advice, financial planning, securities analysis, and asset protection strategies. The bond protects customers against financial losses in the event that the advisor violates Oregon Securities Law.