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Appendices
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.

Appendices
- Appendix 1
  Addressing inconsistency between licensee’s NMLS record and state files during Transition.
- GLOSSARY
- Providing Disclosure Explanations
  How to provide disclosure explanations in NMLS.
- 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.

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.