The State of North Carolina Department of the Secretary of State, Securities Division, has the responsibility of overseeing Investment Adviser licensing, consumer protection and investor education.
The North Carolina Investment Adviser Act, Chapter 78C of the North Carolina Statutes details the investment adviser registration requirements and exemptions.
The premium that you pay for a North Carolina Investment Adviser Surety Bond is dependent on credit.
A North Carolina investment adviser must renew their registration and bond annually by December 31.
Check out our FAQ page. Should you need or choose to buy a surety bond, 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