Oregon investment adviser bonds.
$150.
Every applicant for licensing as an Oregon-based state investment adviser files a surety bond with the Director of the Department of Consumer and Business Services. OAR 441-175-0110 sets the bond at $10,000, in a form and on terms the director approves. The premium is 1.5% of the bond amount, $100 minimum.
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How much does an Oregon investment adviser bond cost?
$150 for the $10,000 bond: 1.5% of the bond amount.
Three steps. One sitting.
Investment adviser bonds are among the simplest filings in surety. Here is the entire process:
Apply online
Firm details, an effective date, and a term. That is the application. No credit check.
Pay & e-sign
The amount is fixed at $10,000, so your exact premium is on the page before you pay and the bond issues the moment you pay — executed bond and power of attorney on the spot.
File with the Division
Your executed bond arrives by email, ready to file with your Oregon investment adviser license application at the Division of Financial Regulation. Wet-ink original mailed on request.
What it is and who needs it.
What the adviser bond guarantees
Oregon licenses investment advisers under the Oregon Securities Law, ORS chapter 59, administered by the Division of Financial Regulation. ORS 59.175(4) authorizes the director to require a bond of a licensed adviser, and OAR 441-175-0110 implements it: every applicant for licensing as an Oregon-based state investment adviser files a surety bond — or a letter of credit — with the director.
The rule sets the bond in the sum of $10,000, in a form and on terms approved by the director, written by a corporation authorized by the director to transact insurance in Oregon. A letter of credit or other financial security of equal value may be deposited with the state instead.
The obligation has a long tail: an adviser must maintain the bond during the licensing period and for at least six years after ceasing to be licensed as an Oregon-based state investment adviser. It is not insurance for you — if the surety pays a claim, you repay the surety. We track the term and send renewal notices 60 and 30 days out.
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 $10,000 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; a longer term is the same price per year, chosen at checkout.
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 Division. Your executed bond arrives by email, ready to file with your Oregon investment adviser license application at the Division of Financial Regulation. 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.
One application, issued instantly.
These are the actual issuing fields — firm details, an effective date, and a term. That is the entire application.
Start the application →Common questions.
Other Oregon bonds.
The same bond in nearby states.
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Price and requirements checked on the carrier’s application, . Page updated .
Adviser bond, filed today.
1.5% of the bond amount, $100 minimum, issued the moment you pay. Free until issued.