Submitting Annual Financial Statements

Submit the annual financial statement for your company through NMLS within 90 days of your fiscal year end.

About this task

Licensees must submit an annual financial statement through NMLS within 90 days of the end of their fiscal year. The classification of financial statement to be submitted is determined by state agency requirements as listed in the License Requirements and Fees Chart. For policy details, see NMLS Policy Guide. Financial statements must be in searchable PDF format, not exceed 8MB, and include all sections required by the applicable state agency.

Procedure

  1. Navigate to the NMLS Login page.
  2. Select the Filing tab.
  3. Click Financial Statement from the sub-menu.
  4. Click Create Filing.
  5. From the Period Type drop-down list, select Annual.
  6. Enter the Fiscal Year for the statement being attached and click Create.
  7. In the Financial Information section, complete all required fields.
    Note: The dollar amounts in the Key Financial Data section must be to the nearest dollar and match the figures in the attached financial statement.
  8. Click Save, then click Next.
  9. If the financial statement was prepared, audited, reviewed, or compiled by an accounting firm, complete the Accountant Information section.
    Note: Include all applicable details as outlined in the NMLS Policy Guidebook requirements for accountant information.
  10. Click Save, then click Next.
  11. Click Add in the Financial Statement upload section, then click Browse to select the PDF file.
    Note: The PDF must be searchable, not exceed 8MB, and contain the complete financial statement package required by the state agency.
  12. Select the file and click Save, then click Next.
  13. Review your filing for accuracy and completeness, then proceed to Attest and Submit.
    Note: All completeness checks must be resolved before you can submit. Carefully review the attestation statement before confirming submission.
  14. Click Submit Filing to send the financial statement to the relevant state agencies.