KS investment adviser bonds.
1.5% rate. $100 minimum.
Kansas registers state-covered investment advisers through the Office of the Kansas Securities Commissioner under the Kansas Uniform Securities Act. Under K.S.A. 17-12a411(e), an adviser with custody of or discretionary authority over client funds or securities can be required by rule or order to post a surety bond. The premium is 1.5% of the bond amount, $100 minimum, the bond issues the moment you pay, and any credit screen is a soft pull only — it never affects your score.
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Three steps. One sitting.
Adviser bonds are one of the simplest filings in your registration file. Here is the entire process:
Apply online
Business details, the bond amount the Commissioner requires, an effective date, and a term. Any credit screen is a soft pull that never shows as a hard inquiry.
Pay & e-sign
This bond is rate-priced at 1.5% of the bond amount ($100 minimum), so it issues the moment you pay — your executed bond and power of attorney generate on the spot.
File with the Securities Commissioner
Your executed bond arrives by email, ready to file with the Office of the Kansas Securities Commissioner alongside your Form ADV records. Wet-ink original mailed on request.
What it is and who needs it.
What the bond actually guarantees
Kansas administers the Kansas Uniform Securities Act through the Office of the Kansas Securities Commissioner, part of the Kansas Insurance Department. Under K.S.A. 17-12a411(e), a rule or order under the act may require an investment adviser that has custody of or discretionary authority over funds or securities of a client to obtain insurance or post a bond — the surety alternative most state-registered advisers choose.
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 act — the safekeeping, custody, and conduct rules in the Commissioner's regulations that protect advisory clients whose money you can touch or trade.
It is not insurance for you — if the surety pays a claim, you repay the surety. The statute also provides that a bond may not be required of an adviser whose minimum financial requirements exceed the amounts set by rule, so confirm your requirement with the Commissioner's office; when a bond is required, it must stay continuously on file, and we send renewal notices 60 and 30 days out.
You need this bond if you're
One application, issued instantly.
These are the actual issuing fields — business details, your bond amount, an effective date, and a term. That is the entire application.
Start the application →Common questions.
Other Kansas bonds.
Get your adviser registration bonded today.
1.5% of the bond amount, $100 minimum, issued the moment you pay. Soft pull only, free until issued.