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Oregon Investment Adviser Surety Bond

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The State of Oregon Department of Consumer and Business Services, Division of Financial Regulation, has the responsibility of consumer protection and business regulation. The Oregon Finance and Securities Regulation 441§175-0002, provides details for the Investment Adviser registration requirements and exemptions.

Surety Bond and Registration Requirements:

  1. Pay the filing fee and complete the application for registration through IARD with any required attachments.
  2. Submit a copy of a current balance sheet.
  3. Provide examples of client contracts and/or agreements.
  4. Obtain a $10,000 surety bond. Instead of a surety bond a letter of credit or other form of financial security of equal value can be deposited with the state.
  5. The name of the designation compliance person on Form ADV.
  6. De Minimis- applicants are not required to register until there are six clients residing in Oregon (not including accredited investors and institutional clients) and are in compliance with another state investment adviser licensure.

How Much Will This Bond Cost?

The premium that you pay for an Oregon Investment Adviser Surety Bond is dependent on credit.

Did You Know?

The Oregon securities law requires that all investment firms have at least one licensed investment adviser.

Related Links:

Oregon Application
Oregon Licensing General Provisions
Washington Investment Adviser Surety Bond

More Surety Bond Questions?

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.

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