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Oregon Investment Adviser Bond

Bond Requirements and Online Application

The Oregon Investment Adviser Bond is required by the Oregon Department of Consumer and Business Services, in the amount of $10,000. The bond requires the bondholder or principal, and its employees to comply with the provisions of Oregon Securities Law. In addition, they shall pay all damages suffered by any person due to a violation of the Oregon Securities Law. 

Who needs the Oregon Investment Adviser Bond?

Individuals who have applied with the State for a license as an Oregon-based state investment adviser will need this bond. All individuals must me connected to an investment adviser firm. If you are a firm managing less than $100 million in assets and are located in Oregon, the bond is one of the licensing requirements.Oregon Investment Adviser Bond

What are the other requirements that must be submitted?

Aside from the $10,000 bond, the following must be submitted for the license application:

  • Complete and submit Form ADV.
  • Pay a fee ($200 annually).
  • Submit a copy of any proposed contract with clients, and financial statements required by Oregon Administrative Rule 441-175-0100. The firm must also have at least one investment adviser licensed under the Oregon securities laws. See Oregon Revised Statutes 59.165.
  • Proof of Errors and Omissions insurance of at least $1 million (Effective July 31, 2018).

Where can I get an Oregon Investment Adviser Bond?

Surety1 can easily get you the bond that you need. In most cases, we can get your bond approved the same day. We also represent over a dozen “A” rated surety companies.

To begin the process of getting your Oregon Investment Adviser Bond, complete our free, online application form. This will only take you a few minutes to complete. Once submitted, one of our licensed surety agents will contact you with a quote for your bond. After you have paid the premium and signed any necessary paperwork, your bond will be shipped to you via USPS Priority Mail, with overnight shipping options also available.

Surety1 has been in the business since 2003. We are licensed in all 50 states and our services have earned an A+ rating from the Better Business Bureau.

 

 

 

 

How to Get Your Oregon Investment Adviser Bond

1. Complete an online application. It's free and no-obligation. 2. One of our surety experts will contact you with a firm quote and an agreement to sign. 3. Provide payment and your signed agreement, and then you will receive your Oregon Investment Adviser Bond!   If you have any questions, please call us at 877-654-2327.
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