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Tennessee Investment Adviser Surety Bond

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The State of Tennessee Department of Commerce and Insurance, Division of Securities, is responsible for enforcing and protection of securities laws. This includes investor education, regulation of the securities industry which includes the registration of Investment Advisers. The Tennessee Securities Act of 1980 provides details that investment advisers must meet for the registration process.

Surety Bond and Registration Requirements:

  1. Payment of the filing fee and completion of the application for registration through IARD with any required attachments.
  2. A copy any organizational documents (corporate articles of incorporations, LLC, general partnership, limited partnership).
  3. Submit copies of client agreement contracts to be used.
  4. Submit a balance sheet for the last fiscal year and if the date of the document that is no more than 90 days old from the date of filing. If there is custody of client funds, an unaudited, certified balance sheet must be submitted within 30 days of the filing date.
  5. Obtain a $10,000 surety bond if the business net capital is less than $100,000.
  6. De Minimis: out-of-state applicants are not required to register until there are five clients or more during any consecutive 12 months. Other exemptions can be found in the Tennessee Securities Act of 1980.

How Much Will a Tennessee Invesment Adviser Bond Cost?

The premium that you pay for a Tennessee Investment Adviser Surety Bond is dependent on credit.

Did You Know?

The form ADV and/or Form U4 must be submitted directly to IARD or CRD.

Related Links:

Tennessee Registration of Investment Advisers
Investment Adviser Registration Depository
Tennessee Registration Section Overview
Tennessee Securities Act and Securities Rules

More Surety Bond Questions?

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.

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