AL blue sky surety bonds.
From $100. Enter your amount.
The uniform surety bond a broker-dealer or investment adviser can be required to post when registering with the Alabama Securities Commission under the Alabama Securities Act — Ala. Code § 8-6-3, the section that governs registration and bonds of dealers, agents, and investment advisers. The Commission sets the amount; $50,000 is the standard requirement. The premium is 1.5% of the bond amount, $100 minimum, and any credit screen is a soft pull only — it never affects your score.
Trusted by industry leaders
Apply to filed in 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. Any credit screen is a soft pull that never shows as a hard inquiry.
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
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.
Blue sky bond, issued today.
1.5% of the bond amount, $100 minimum, issued the moment you pay. Free until issued.