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Applying for a State Company License
This section explains what the Company Form (MU1) is and how to apply for a state license or registration for your company in NMLS.
Managing Document Uploads
Learn how to upload, organize, and manage the required supporting documents within NMLS to complete your license application successfully.
Document Upload Descriptions and Examples
Descriptions and examples of the different types of documentation available for upload to NMLS.
Documents Available for Upload to Individual Filings (MU2/MU4)
Descriptions and examples of the different types of documentation available for upload to individual filings in NMLS.
Personal Financial Statement
States vary on individuals they require to submit financial statements.

Applying for a State Company License
This section explains what the Company Form (MU1) is and how to apply for a state license or registration for your company in NMLS.
- Filing the Initial Company MU1 Form for a New Application
  Explains the idea of creating a new Company Form (MU1) filing in NMLS when applying for a new license or registration, as well as the distinction between your NMLS record and a filing in NMLS. Provides context around the relationship between the Company Form (MU1), Individual Form (MU2), and Branch Form (MU3).
- Creating a Company MU1 New Application Filing
  How to create a new Company Form (MU1) filing in NMLS.
- Selecting Relevant Business Activities
  Choose the business activities that accurately reflect the services your company provides to ensure proper license application and regulatory oversight.
- Requesting a Company License or Transition
  Learn how to request a company license or transition an existing license onto NMLS.
- Adding Other Trade Names
  Enter any additional trade names your company uses to ensure they are properly recorded and displayed in NMLS and on public records.
- Identifying Resident Agents
  Provide the contact details of registered agents authorized to receive legal and regulatory documents on behalf of your company in each state where a license is requested.
- Identifying Contact Employees
  Learn how to add or edit company contact employees in the Contact Employees section of the Company (MU1) Form in NMLS.
- Providing Books and Records Information
  List the location(s) where the company’s books and records are stored, along with contact details and related information, in the MU1 filing.
- Providing Approvals and Designations
  Identify and document all approvals and designations held by the company in the MU1 filing, including any required explanations or related business disclosures.
- Indicating Legal Status
  Enter your company's legal status, fiscal year-end, and formation details as required for a new Company (MU1) filing.
- Identifying Affiliates and Subsidiaries
  Learn how to complete the Affiliates and Subsidiaries section of the MU1 form by disclosing related entities that share common ownership or control with your company.
- Identifying Financial Institutions
  Learn how to complete the Financial Institutions section of the MU1 form by listing banks, credit unions, and other financial entities affiliated with your company.
- Answering Disclosure Questions
  Learn how to accurately respond to the Disclosure Questions on the MU1 form to report any legal, financial, or regulatory issues affecting your company or its principals.
- Providing Disclosure Explanations
  Provide explanations for all disclosure questions answered “Yes,” optionally clarify selected “No” responses, and manage supporting documentation in the MU1 filing.
- Identifying Direct Owners and Executive Officers
  Identify all individuals and entities that meet NMLS definitions for direct owners and executive officers, and complete the required fields in the MU1 filing.
- Identify Indirect Owners
  Use the Indirect Owners section of the Company (MU1) Form to disclose any individuals or entities that indirectly own or control 25% or more of the applicant.
- Identifying Qualifying Individuals
  Identify and maintain the company’s Qualifying Individual (QI) in the MU1 filing; updates may require advance notice and trigger an MU2 filing for the individual.
- Managing Document Uploads
  Learn how to upload, organize, and manage the required supporting documents within NMLS to complete your license application successfully.
  - Document Upload Descriptions and Examples
    Descriptions and examples of the different types of documentation available for upload to NMLS.
    - Documents Available for Upload to Company and Branch Filings (MU1/MU3)
      Descriptions and examples of the different types of documentation available for upload to Branch Filings in NMLS.
    - Documents Available for Upload to Individual Filings (MU2/MU4)
      Descriptions and examples of the different types of documentation available for upload to individual filings in NMLS.
      - Credit Report Explanations
        A line-by-line, detailed letter of explanation of all derogatory credit accounts along with proof of payoffs, payment arrangements and evidence of payments made, or evidence of any formal dispute filed.
      - Legal Name / Status Documentation
        Upload documentation of legal name or legal status. This may be certified copies of divorce decree, marriage certificate, copy of driver’s license, passports, etc.
      - Memorandum of Tax Certification
        Provide a certified memorandum indicating all tax obligations to the State have been paid or that a payment plan (if applicable) is in place.
      - Personal Financial Statement
        States vary on individuals they require to submit financial statements.
      - State Background Check Authorization
        State specific form authorizing a state background check.
      - Verification of Experience
        A license specific resume with detailed job descriptions and/or duties performed evidencing experience in the industry the company is applying for a license.
  - About the Document Library
    Document requirements are determined by the specific license requirements outlined in the Agency Guidance section of your MU4 filing. There are no standard documents required for every application; required uploads vary depending on your agency’s licensing guidance.
- Managing MU2 Forms for Company Representatives on the Company MU1 Form
  Learn how to manage MU2 forms for company representatives by linking and updating their information within your company’s MU1 form in NMLS.
- Attesting and Submitting a New MU1 Application
  Complete the final step of the MU1 new application process by legally attesting to the filing information and submitting it to state regulators through NMLS.
- 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.
- Managing Individual MU2 Filings (Company)
  Understand the process for managing individual MU2 filings, including submitting, updating, and tracking licensing information for company representatives in NMLS.
- Completing Application Requirements Submitted Outside of NMLS
  Understand the application requirements that companies must complete outside of NMLS, including fingerprinting, background checks, and submitting state-specific documentation.
- Determining Application Status
  Learn how to determine your company’s application status using the Composite View and Company Dashboard in NMLS for easy tracking and management.
- Responding to License Items
  Review and internally respond to license items placed on your company, branch, or sponsored individual licenses.
- Managing NMLS Electronic Surety Bonds for Licensees
  Understand how electronic surety bonds are managed within NMLS for company licensees, including submission, tracking, and compliance requirements.

Personal Financial Statement

States vary on individuals they require to submit financial statements.

General/State-Specific

State-Specific

Document Description(s)

States vary on individuals they require to submit financial statements. See State Licensing Checklist Compiler to determine if your license requires this document and if required, the ownership percentage of individuals who must upload this document.

File Name Format

[State Abbreviation] -Personal Financial Statement

Amendments

Existing document must be removed and replaced by new document. Will not be processed unless old document is removed.

Upload Location

INDIVIDUAL FILING (MU2/MU4)

Note: See About the Document Library for more information on what regulators and company users can view in NMLS.

Contact the NMLS Call Center with any questions: 1-855-665-7123
Monday - Friday from 9:00AM to 9:00PM ET
Available from all U.S. States and Territories.