The Commonwealth of Virginia State Corporation Commission, Division of Securities and Retail Franchising, regulates securities and registration of securities professionals. It is also responsible for trademarks and franchise registration, investor education programs, following up on complaints and investigating code violations and auditing of securities financials and for investment advisor and broker dealer registration. Investment advisors must register prior to providing any investment related services. In certain instances, a surety bond may also be required. The surety bond ensures compliance of state laws and honest and ethical performance of duties. The Virginia Securities Act provides details that investment advisers must meet for the registration process.
The premium that you pay for a Virginia Investment Adviser Surety Bond is dependent on credit.
A sole proprietor investment adviser must register both as a firm and a representative separately.
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