The State of Kentucky Public Protection Cabinet regulates the Department of Financial Institutions (DFI) which includes investment adviser and representatives registration. Kentucky Code 292.330 details the laws for investment adviser’s registration and surety bond requirements. The surety bond ensures compliance of state laws and eithical business practices.
The premium that you pay for a Kentucky Investment Adviser Surety Bond is dependent on credit and the bond amount required.
You must have a passing score of 72% for the Series 65 exam and a score of 75% for the Series 66 exam.
Check out our FAQ page or What’s a Surety Bond? page. Should you need or choose to buy a surety bond, buy from us. SuretyGroup.com has been underwriting surety bonds throughout the U.S. for more than 35 years. When you work with us, you enjoy the unique benefit of dealing with a team of highly experienced surety agents with in-house underwriting authority. This allows you to receive competitive, low rates, quick approvals, and immediate bond delivery. In most cases, your bond will be delivered within 24 hours after you apply for it.
For a downloadable application