The State of Alaska Division of Banking and Securities has the duty to maintain the Investment Adviser program.
The department has oversight of professional exams, auditing of journals, ledgers and other forms of accounting and record keeping, compliance of disclosures and conflicts of interest, advertising compliance, and consumer complaints.
Alaska Statues Title 45 (Trade and Commerce) Chapter 55 (Alaska Securities Act) Section 030 provides details of the Investment Adviser duties and requirements.
The registration process includes:
1. Payment of a filing fee and application for registration through IARD with any required attachments
2. Consent of service
3. Business breakdown
4. List of branch offices in the state
5. $35,000 surety bond if the investment adviser:
The premium for the Alaska Investment Adviser bond is dependent on bond amount and the Adviser's credit.
You can Apply online or contact our Surety Bond Specialists today at:
Hours: 8:00-5:00 CST, Monday through Friday
SuretyGroup.com has been underwriting surety bonds for over 35 years throughout the US. We have a team of experienced surety agents and in-house underwriting authority, which gives us a unique advantage over other surety companies. We are able to offer competitive, low rates, quick approvals and immediate bond delivery. In most cases we can approve your application today and deliver your bond tomorrow.