{"id":750,"date":"2013-04-02T02:58:54","date_gmt":"2013-04-02T02:58:54","guid":{"rendered":"http:\/\/suretyone.com\/blog\/?p=750"},"modified":"2017-01-03T16:20:39","modified_gmt":"2017-01-03T16:20:39","slug":"tennessee-broker-dealer-bond","status":"publish","type":"post","link":"https:\/\/suretyone.com\/blog\/tennessee-broker-dealer-bond\/","title":{"rendered":"Tennessee Broker Dealer Bond"},"content":{"rendered":"<p>Although largely regulated by FINRA (Financial Industry Regulatory Authority) broker dealers and financial advisers practicing in the State of Tennessee must also register locally and provide a <strong><a title=\"Surety One commercial surety page\" href=\"https:\/\/suretyone.com\/commercial-surety-bonds\" target=\"_blank\">Tennessee securities dealer bond<\/a><\/strong>. \u00a0 The state defines a broker dealer as any person engaged in the business of effecting transactions in securities for the account of others, or any person engaged in the business of buying or selling securities issued by one or more other persons for such persons own account as part of a regular business rather than in connection with such person&#8217;s investment activities. \u00a0This license class must provide a $10,000 <strong>Tennessee broker dealer bond<\/strong>\u00a0if the broker-dealer&#8217;s net capital is below $100,000\u00a0 An investment adviser is defined as any person who for compensation engages in the business of advising others as to the value of securities or as to the advisability of investing in, buying or selling securities or for compensation prepares analyses or reports concerning securities. \u00a0This license class must provide a <strong><a title=\"Surety One bonds a-z page\" href=\"https:\/\/suretyone.com\/all-bonds\" target=\"_blank\">Tennessee investment adviser bond<\/a><\/strong> only if the adviser has not complied with the FEDERAL net capital and bonding requirements. \u00a0The bond form available from the <a title=\"TN DOI Sec. Div.\" href=\"http:\/\/tn.gov\/securities\/secbdiar.shtml\" target=\"_blank\">Securities Division<\/a> of the Department of Insurance is the same for broker-dealers, issuer dealers, and <strong>Tennessee investment advisers<\/strong>\u00a0and guarantees that the registrant will fully account for and pay all moneys and securities of another to the person entitled thereto, which may come into the possession of the registrant and received by him in his registered capacity, and that he will promptly and faithfully pay any judgment rendered against him by a court of competent jurisdiction for any fraud or misrepresentation in securities matter under its registration.\u00a0<a title=\"Surety One\" href=\"https:\/\/suretyone.com\/\" target=\"_blank\">Surety One, Inc.<\/a>, is the\u00a0<strong>leader in surety<\/strong>\u00a0in the financial services sector. \u00a0We offer\u00a0<strong>broker dealer surety bonds<\/strong>\u00a0and <strong>investment adviser bonds<\/strong>\u00a0in every state that requires them. Visit us at<a title=\"Surety One\" href=\"https:\/\/suretyone.com\" target=\"_blank\">\u00a0SuretyOne.com<\/a>, call\u00a0<span style=\"color: #ff0000;\">(787) 333-0222<\/span>\u00a0or\u00a0<span style=\"color: #ff0000;\">(800) 373-2804<\/span>, or email\u00a0<span style=\"color: #ff0000;\">Underwriting@SuretyOne.com<\/span>\u00a0for an <strong>Tennessee broker dealer\u00a0bond<\/strong>\u00a0application\u00a0or for information about any surety bond need, anywhere!<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Although largely regulated by FINRA (Financial Industry Regulatory Authority) broker dealers and financial advisers practicing in the State of Tennessee must also register locally and provide a Tennessee securities dealer bond. \u00a0 The state defines a broker dealer as any&#8230; <a class=\"more-link\" href=\"https:\/\/suretyone.com\/blog\/tennessee-broker-dealer-bond\/\">Continue Reading &rarr;<\/a><\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":[],"categories":[139],"tags":[909,911,910,912],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v17.7.1 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Tennessee Broker Dealer Bond &bull; Surety One, Inc.<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/suretyone.com\/blog\/tennessee-broker-dealer-bond\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Tennessee Broker Dealer Bond &bull; Surety One, Inc.\" \/>\n<meta property=\"og:description\" content=\"Although largely regulated by FINRA (Financial Industry Regulatory Authority) broker dealers and financial advisers practicing in the State of Tennessee must also register locally and provide a Tennessee securities dealer bond. \u00a0 The state defines a broker dealer as any... 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