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AR investment adviser bonds.
$750 flat.

An Arkansas-registered investment adviser that has custody of customer funds or securities must post a $50,000 corporate surety bond covering the firm and each representative — required under the Arkansas Securities Act, A.C.A. § 23-42-305, and Rule 305.01(b) of the Securities Commissioner's rules. Ours is $750 flat, the price you see is the checkout price, and the bond issues the moment you pay. Any credit screen is a soft pull only — it never affects your score.

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Required of advisers with custody of client funds or securities under Rule 305.01(b)
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Covers the firm and each representative — one $50,000 bond
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Fixed price, fixed amount — $50,000 bond, $750 flat, no quote process
A-ratedA.M. Best carriersInstantissuance at checkout$750 flatsame price at checkout
Trusted by industry leaders
NYCEDC
BDG
Capital
McKinney
Terra
JLL
Triple Five
Georgetown
NYCEDC
BDG
Capital
McKinney
Terra
JLL
Triple Five
Georgetown
How it works

Three steps. One sitting.

Investment adviser bonds are among the most standardized filings in surety. Here is the entire process:

NOW · ONLINE

Apply online

Business details, an effective date, and a term. That is the entire application — any credit screen is a soft pull that never shows as a hard inquiry.

INSTANTLY

Pay & e-sign

This bond is checkout-priced at $750 flat, so it issues the moment you pay — your executed bond and power of attorney generate on the spot.

SAME DAY

File with the Securities Department

Your executed bond arrives by email, ready to submit with your investment adviser registration to the Arkansas Securities Department. Wet-ink original mailed on request.

About this bond

What it is and who needs it.

What the bond actually guarantees

Arkansas registers investment advisers through the Arkansas Securities Department under the Arkansas Securities Act. Rule 305.01(b) of the Commissioner's rules, issued under § 23-42-305, requires an adviser that has custody of customer funds or securities to maintain a $50,000 corporate surety bond covering the firm and each representative — in effect at all times while registered.

It's a three-party arrangement: you (the principal), the surety carrier, and the state (the obligee). The bond stands behind your handling of the client assets in your custody and your compliance with the Act; a client harmed by a violation can be compensated from the bond. Two carve-outs exist: custody solely from deducting advisory fees under the Rule 307.02 safeguards, and advisers whose principal place of business is in another state where they are registered and bonded.

It is not insurance for you — if the surety pays a claim, you repay the surety. Annual renewal filings include proof of continued surety coverage for the adviser and each representative, so the bond has to stay continuously on file; we track the term and send renewal notices 60 and 30 days out.

Rule 305.01(b) · A.C.A. § 23-42-305Rule 305.01 of the Rules of the Arkansas Securities Commissioner, under Section 23-42-305 of the Arkansas Securities Act, requires an investment adviser that has custody of customer funds or securities to maintain a surety bond in the amount of $50,000 covering the applicant and each representative. An adviser whose custody arises solely from direct fee deduction and that complies with Rule 307.02(b)(3) safeguards is not required to post the bond.

You need this bond if you're

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Registering as an Arkansas investment adviser with custody of client funds or securities
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Holding client assets beyond simple fee deduction from client accounts
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Renewing your registration — renewals include proof of continued surety coverage
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Adding representatives — one $50,000 bond covers the firm and each representative

One application, issued instantly.

These are the actual issuing fields — business details, an effective date, and a term. That is the entire application.

Start the application →
FAQ

Common questions.

How much is the Arkansas investment adviser bond?The premium is $750 flat — set by our carrier's rate book for this bond, the same for every adviser. The $50,000 bond amount is set by Rule 305.01(b) of the Arkansas Securities Commissioner, so there is no quote process, and the price you see is the checkout price.
Does every investment adviser need this bond?No — it applies to advisers with custody of customer funds or securities. Custody solely from deducting advisory fees under the Rule 307.02 safeguards is exempt, as is an adviser whose principal place of business is in another state where it is registered and meets that state's bonding requirements.
Do I pay the $50,000?No. You pay $750. The $50,000 is the surety's maximum liability if a valid claim is made against the bond — not a deposit, and nobody holds your money.
Is there a credit check?If a credit screen runs on this bond, it is a soft pull only — never a hard inquiry, and it never affects your score. The price stays $750 flat either way.
Who requires the bond, and where do I file it?The Arkansas Securities Department. The bond covers the adviser and each representative, files with your registration, and annual renewal filings include proof of continued surety coverage.
Related bonds

Other Arkansas bonds.

AR Investment Broker-Dealer Bond ($25,000)
The $25,000 securities registration bond filed with the Arkansas Securities Department under A.C.A. § 23-42-305. $375 flat.
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AR Collection Agency Bond
The tiered State Board of Collection Agencies bond under A.C.A. § 17-24-306 — $10,000 to $25,000 by collector count. 0.5% of the bond amount, $100 minimum.
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AR Money Transmitter Bond
The Uniform Money Services Act bond under A.C.A. § 23-55-204 — $50,000 plus $10,000 per location, capped at $300,000. 1% of the bond amount, $100 minimum.
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Finish your adviser registration today.

$750 flat, issued the moment you pay, soft pull only. Free until issued.

Start application
Your price$750
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