The South Carolina Broker-Dealer and Investment Adviser Bond is required by the South Carolina Securities Commissioner to be in either the amount of $35,000 or $50,000. The bond states that the bond holder, or Principal, will comply with all applicable provisions of, and order, rules and regulations issued pursuant to, the applicable securities statutes of the particular states, commonwealth or territories in which the Principal is registered.
In order to be registered, the following requirements must also be submitted:
- The investment adviser’s standard client contracts
- A balance sheet and income statement for the firm dated within 45 days of submission
- A list of investment adviser representatives
- SLED records check for each representative
Why should I get my South Carolina Broker-Dealer and Investment Adviser Bond from Surety1?
Complete our easy to navigate online application. Within one business day, one of our licensed agents will contact you with a no-obligation quote for your bond (the “premium”). Once any necessary paperwork is signed and the premium payment is processed, your surety bond will be shipped to you via USPS Priority Mail (overnight shipping options also available).
The surety bond experts at Surety1 are here to help you get bonded quickly and reliably. We work with over a dozen “A” rated surety markets to ensure we find you the lowest rate for your bond. We are also licensed in all 50 states and maintain an A+ rating by the Better Business Bureau.