South Carolina Broker-Dealer Bond (Broker-Dealer and Investment Adviser Surety Bond)
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FAQ
What is an investment advisor surety bond? Investment advisor surety bonds are license bonds required by many states of those who provide financial advice for a fee. The bond financially guarantees you will perform ing to the laws & regulations governing your license.
There are many types of surety bonds, and each state has its own bonding requirements for different industries. However, there are three major types of surety bonds that you should know: license and permit bonds, construction and performance bonds, and court bonds.
Surety bonds are used in a range of professions and industries in order to guarantee compliance, performance or payment of a specific role. Surety bonds are widely used in the state of South Carolina to protect the state and the public from unscrupulous or illegal business practices.
Surety Bond Requirements in SC The state of South Carolina requires professionals, contract workers, and various companies to post surety bonds as a business licensing requirement.
Investment Advisor & Broker-Dealer Bonds Investment advisors and broker-dealers often must post a surety bond as part of the licensing or registration requirements.
A surety bond is a promise to be liable for the debt, default, or failure of another. It is a three-party contract by which one party (the surety) guarantees the performance or obligations of a second party (the principal) to a third party (the obligee).
The South Carolina Residential Builder surety bond can cost anywhere between $150 to $300 per year or $15 to $30 per month. Insurance companies determine the rate based on a number of factors including your customer's credit score and experience.