Submitting Your Initial Financial Statement in NMLS

Submit your company’s initial financial statement in NMLS when applying for a new license to meet state requirements.

About this task

Many states require companies to submit a financial statement with their initial license application in NMLS. Use the state-specific State Licensing Checklist Compiler to determine the type of financial statement required. Requirements can include audited, reviewed, compiled, or internally prepared statements. The statement must be uploaded as a searchable PDF not exceeding 8MB.

Procedure

  1. Navigate to the NMLS Login page.
  2. Select the Filing tab.
  3. From the sub-menu, select Financial Statement.
  4. Click Create Filing.
  5. In the Period Type drop-down list, select Annual/Initial.
    1. Enter the fiscal year for the financial statement being attached.
    2. Click Create.
  6. Complete each section in the left navigation panel of the filing.
  7. On the Financial Information page, enter the required data in the Key Financial Data section.
    Note: Dollar amounts must be rounded to the nearest whole dollar and match the amounts in the attached financial statement.
  8. If applicable, complete the Accountant Information section.
    Note: Provide this information if the statement was prepared, audited, reviewed, or compiled by an accounting firm.
  9. Click Add, then Browse to locate your financial statement file.
    Note: The file must be in searchable PDF format and cannot exceed 8MB.
  10. Select the file and click Save.
  11. Navigate to the Attest and Submit section.
  12. Click Submit Filing to complete the submission.