A Securities Dealer Fidelity Bond is a regulatory requirement designed to protect your firm’s assets and customers’ funds.

The Securities Dealer Fidelity Bond is underwritten by The Travelers.


  • Coverage for dishonesty of employees and Independent Registered Representatives
  • Cost savings with competitive rates and deductible options
  • Non-aggregate bond — coverage is for each and every loss subject to bond terms
  • Discovery basis bond with up to one year discovery period available
  • Legal expense coverage provided in addition to the bond limit of liability (capped at 100% of the bond limit)
  • $25,000 audit expense and $5,000 fidelity claims expense coverage
  • Reasonable deductibles based on the bond limit purchased
  • Coverage for unauthorized signatures of non-employees up to $25,000 per loss and in the aggregate per year
  • Credit/debit card forgery coverage
  • Coverage includes Email Initiated Transfer Fraud and Social Engineering Fraud
  • Coverage for uncollectible items of deposit up to $25,000 per loss and in the aggregate per year
  • Computer systems fraud coverage including voice-initiated transfer, telefacsimile, virus and hacker coverage
  • Coverage for partners (if a partnership)
  • ERISA bond coverage for pension and benefit plans is included at no additional charge up to your bond limit (subject to a $500,000 cap per plan)
  • Optional two-year bond — locks in current rates and saves 10% over 2 years — payable in two annual installments

To learn more about The Travelers Securities Dealer Fidelity Bond

Click here for a Securities Dealer Fidelity Bond application and information.

Click here to read FINRA Rule 4360 for bonding requirements.

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