Alabama blue sky surety bonds.
From $100.
A broker-dealer or investment adviser registering with the Alabama Securities Commission can be required to post this uniform surety bond under the Alabama Securities Act, Ala. Code § 8-6-3. The Commission sets the amount; $50,000 is the standard requirement. The premium is 1.5% of the bond amount, $100 minimum.
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How much does an Alabama blue sky surety bond cost?
1.5% of the bond amount, from $100. Enter your amount in the calculator for the exact price.
Three steps. One sitting.
No underwriting queue for the Alabama blue sky bond — enter your amount, pay, and file with the Securities Commission. Here is the whole thing:
Apply online
Business details, the bond amount your registration requires, an effective date, and a term. No credit check up to $25,000.
Pay & e-sign
The premium is 1.5% of the bond amount, $100 minimum — priced at checkout, so the bond issues the moment you pay. Your executed bond and power of attorney generate on the spot.
File with the Securities Commission
Your executed bond arrives by email, ready to submit with your broker-dealer or investment adviser registration. Wet-ink original mailed on request.
What it is and who needs it.
What the bond actually guarantees
Alabama registers broker-dealers, agents, and investment advisers through the Alabama Securities Commission under the Alabama Securities Act. Ala. Code § 8-6-3 — the registration-and-bonds section — lets the Commission require a registrant to post a surety bond, and the industry-standard Form U-SB uniform bond is accepted; $50,000 is the amount commonly required of registrants who maintain custody of client funds or discretionary authority without qualifying net capital.
It's a three-party arrangement: you (the principal), the surety carrier, and the state (the obligee). The bond stands behind your compliance with the Securities Act — the conduct rules that protect Alabama investors — and gives a harmed investor a source of recovery up to the bond amount.
It is not insurance for you — if the surety pays a claim, you repay the surety. The bond must stay on file while you are registered; we track the term and send renewal notices 60 and 30 days out. Confirm your required amount on your Commission registration correspondence.
You need this bond if you're
Claims, renewal, filing, and what sets the price.
If a claim is made
A claim comes from the party the bond protects, the obligee named on the form, when the duty the bond guarantees is not met.
The surety investigates and pays a valid claim, up to the bond amount. You then repay the surety: a surety bond is a guarantee of your performance, not insurance for you.
Renewal and term
The premium covers a one-year term from the effective date you choose.
Renew before the expiry date to keep the bond in force: the license, permit or contract it backs expects continuous coverage.
How to file it
File with the Securities Commission. Your executed bond arrives by email, ready to submit with your broker-dealer or investment adviser registration. Wet-ink original mailed on request.
What sets the price
The premium is 1.5% of the bond amount, $100 minimum: the amount the obligee sets moves the price, not your business profile.
No credit check up to $25,000. Above that, the carrier may run a soft pull, which never affects your score.
Where a check runs, it decides approval; the rate is the same for everyone approved.
One application, issued instantly.
Submit the application with the bond amount your registration requires — the executed bond is generated the moment you pay, ready to file.
Start the application →Common questions.
Other Alabama bonds.
Price and requirements checked on the carrier’s application, . Page updated .
Blue sky bond, issued today.
1.5% of the bond amount, $100 minimum, issued the moment you pay. Free until issued.