"Uniform Application for Individual Producer License/Registration"

Uniform Application for Individual Producer License/Registration is a 5-page legal document that was released by the National Association of Insurance Commissioners and used nation-wide.

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Please note the application may be revised on a bi-annual basis. To ensure you are filing the current version of the application, please
reference the National Insurance Producer Registry web site at www.nipr.com.
Uniform Application for
Individual Producer License/Registration
(Please Print or Type)
Check appropriate boxes for license requested.
Resident License
Non-Resident License
Identify Home State: ___ Home State License #: _________
New Application
Additional Line of Authority
Demographic Information
1
Soc. Security Number
If assigned, National Producer Number (NPN)
2
-
-
If applicable, FINRA Individual Central Registration Depository (CRD)
3
Number
Last Name
JR./SR. etc
First Name
Middle Name
Date of Birth
4
7
5
6
(month) ___ (day) ___ (year)____
Residence/Home Address (Physical Street)
City
State
Zip Code
Foreign Country
8
10
11
9
12
Home Phone Number
Gender (Circle One)
Are you a Citizen of the United States? (Check One)
13
16
15
(
)
-
Male
Female
Yes
No
(If No, of which country are you a citizen?)
(If NO, and this is an application for a Resident License, you must supply proof of eligibility to
Individual Applicant Email
work in the U.S.)
Address:
Business Entity Name
17
Business Address (Physical Street)
P.O. Box
City
State
Zip Code
Foreign Country
18
23
19
20
21
22
Business Phone Number (include
Business Fax Number
Business E-Mail Address
Business Web Site Address
25
24
26
27
extension)
(
)
-
(
)
-
Applicant’s Mailing Address
P.O. Box
City
State
Zip Code
Foreign Country
32
28
29
30
33
31
a. List any other assumed, fictitious, alias, maiden or trade names which you have used in the past.
34
b. List any trade names under which you are currently doing business or intend to do business.
(May be subject to state approval)
Agency or Business Entity Affiliations
List your Insurance Agency Affiliations: (Complete only if the applicant is to be licensed as an active member of the business entity)
35
FEIN ________________________ NPN ___________________ Name of Agency ___________________________________________________________
FEIN ________________________ NPN ___________________ Name of Agency ___________________________________________________________
FEIN ________________________ NPN ___________________ Name of Agency ___________________________________________________________
Employment History
Account for all time for the past five years. Give all employment experience starting with your current employer working back five years. Include full and part-time
36
work, self-employment, military service, unemployment and full-time education.
From
To
Month
Year
Month
Year
Position Held
Name
City
State
Foreign Country
Name
City
State
Foreign Country
Name
City
State
Foreign Country
Name
City
State
Foreign Country
(State Use)
© 2014 National Association of Insurance Commissioners
Page 1 of 5
Please note the application may be revised on a bi-annual basis. To ensure you are filing the current version of the application, please
reference the National Insurance Producer Registry web site at www.nipr.com.
Uniform Application for
Individual Producer License/Registration
(Please Print or Type)
Check appropriate boxes for license requested.
Resident License
Non-Resident License
Identify Home State: ___ Home State License #: _________
New Application
Additional Line of Authority
Demographic Information
1
Soc. Security Number
If assigned, National Producer Number (NPN)
2
-
-
If applicable, FINRA Individual Central Registration Depository (CRD)
3
Number
Last Name
JR./SR. etc
First Name
Middle Name
Date of Birth
4
7
5
6
(month) ___ (day) ___ (year)____
Residence/Home Address (Physical Street)
City
State
Zip Code
Foreign Country
8
10
11
9
12
Home Phone Number
Gender (Circle One)
Are you a Citizen of the United States? (Check One)
13
16
15
(
)
-
Male
Female
Yes
No
(If No, of which country are you a citizen?)
(If NO, and this is an application for a Resident License, you must supply proof of eligibility to
Individual Applicant Email
work in the U.S.)
Address:
Business Entity Name
17
Business Address (Physical Street)
P.O. Box
City
State
Zip Code
Foreign Country
18
23
19
20
21
22
Business Phone Number (include
Business Fax Number
Business E-Mail Address
Business Web Site Address
25
24
26
27
extension)
(
)
-
(
)
-
Applicant’s Mailing Address
P.O. Box
City
State
Zip Code
Foreign Country
32
28
29
30
33
31
a. List any other assumed, fictitious, alias, maiden or trade names which you have used in the past.
34
b. List any trade names under which you are currently doing business or intend to do business.
(May be subject to state approval)
Agency or Business Entity Affiliations
List your Insurance Agency Affiliations: (Complete only if the applicant is to be licensed as an active member of the business entity)
35
FEIN ________________________ NPN ___________________ Name of Agency ___________________________________________________________
FEIN ________________________ NPN ___________________ Name of Agency ___________________________________________________________
FEIN ________________________ NPN ___________________ Name of Agency ___________________________________________________________
Employment History
Account for all time for the past five years. Give all employment experience starting with your current employer working back five years. Include full and part-time
36
work, self-employment, military service, unemployment and full-time education.
From
To
Month
Year
Month
Year
Position Held
Name
City
State
Foreign Country
Name
City
State
Foreign Country
Name
City
State
Foreign Country
Name
City
State
Foreign Country
(State Use)
© 2014 National Association of Insurance Commissioners
Page 1 of 5
Please note the application may be revised on a bi-annual basis. To ensure you are filing the current version of the application, please
reference the National Insurance Producer Registry web site at www.nipr.com.
Uniform Application for
Individual Producer License/Registration
Applicant Name: _________________________________________________
Jurisdiction and Type of License Requested
Next to each jurisdiction, check the license type(s) and line(s) of authority for which you are applying.
37
License Types:
B – Broker
P - Producer
SLP – Surplus Lines Producer
A – Agent
H – Accident &
V – Variable
Lines of Authority:
L – Life
Health or
P – Property
C – Casualty
PL – Personal Lines
Life/Variable Annuity
Sickness
Credit– Credit
CR – Car Rental
CROP - Crop
T – Travel
S – Surety
O – Other: Specify
Limited Lines:
Type
License Type
Major Lines of Authority
Limited Lines of Authority
Jurisdiction
A
B
P
SLP
V
L
H
P
C
PL
Credit
CR
CROP
T
S
O ___________
AK
AL
AR
AZ
CA
CO
CT
DC
DE
FL
GA
GU
HI
IA
ID
IL
IN
KS
KY
LA
MA
MD
ME
MI
MN
MO
MS
MT
NC
ND
NE
NH
NJ
NM
NV
NY
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VI
VA
VT
WA
WI
WV
WY
© 2014 National Association of Insurance Commissioners
Page 2 of 5
Please note the application may be revised on a bi-annual basis. To ensure you are filing the current version of the application, please
reference the National Insurance Producer Registry web site at www.nipr.com
Uniform Application for
Individual Insurance Producer License/Registration
Applicant Name: _________________________________________________
Background Questions
The Applicant must read the following very carefully and answer every question. All written statements submitted by the Applicant must
38
include an original signature.
1 a. Have you ever been convicted of a misdemeanor, had a judgment withheld or deferred, or are you currently charged with committing a
Yes ___ No___
misdemeanor?
You may exclude the following misdemeanor convictions or pending misdemeanor charges: traffic citations, driving under the influence
(DUI), driving while intoxicated (DWI), driving without a license, reckless driving, or driving with a suspended or revoked license.
You may also exclude juvenile adjudications (offenses where you were adjudicated delinquent in a juvenile court)
1b. Have you ever been convicted of a felony, had a judgment withheld or deferred, or are you currently charged with committing a felony?
Yes __
No ___
You may exclude juvenile adjudications (offenses where you were adjudicated delinquent in a juvenile court)
If you have a felony conviction involving dishonesty or breach of trust, have you applied for written consent to engage in the business of
insurance in your home state as required by 18 USC 1033?
N/A___ Yes___ No____
If so, was consent granted? (Attach copy of 1033 consent approved by home state.)
N/A___ Yes___ No____
1c. Have you ever been convicted of a military offense, had a judgment withheld or deferred, or are you currently charged with committing a
Yes __
No ___
military offense?
NOTE: For Questions 1a, 1b and 1c, “Convicted” includes, but is not limited to, having been found guilty by verdict of a judge or jury,
having entered a plea of guilty or nolo contendere or no contest, or having been given probation, a suspended sentence, or a fine.
If you answer yes to any of these questions, you must attach to this application:
a) a written statement explaining the circumstances of each incident,
b) a copy of the charging document,
c) a copy of the official document, which demonstrates the resolution of the charges or any final judgment.
2. Have you ever been named or involved as a party in an administrative proceeding, including FINRA sanction or arbitration proceeding
regarding any professional or occupational license or registration?
Yes ___ No___
“Involved” means having a license censured, suspended, revoked, canceled, terminated; or, being assessed a fine, a cease and desist order, a
prohibition order, a compliance order, placed on probation, sanctioned or surrendering a license to resolve an administrative action.
“Involved” also means being named as a party to an administrative or arbitration proceeding, which is related to a professional or
occupational license, or registration. “Involved” also means having a license, or registration application denied or the act of withdrawing an
application to avoid a denial. INCLUDE any business so named because of your actions in your capacity as an owner, partner, officer or
director, or member or manager of a Limited Liability Company. You may EXCLUDE terminations due solely to noncompliance with
continuing education requirements or failure to pay a renewal fee.
If you answer yes, you must attach to this application:
a) a written statement identifying the type of license and explaining the circumstances of each incident,
b) a copy of the Notice of Hearing or other document that states the charges and allegations, and
c) a copy of the official document, which demonstrates the resolution of the charges or any final judgment.
3. Has any demand been made or judgment rendered against you or any business in which you are or were an owner, partner, officer or
director, or member or manager of a limited liability company, for overdue monies by an insurer, insured or producer, or have you ever
been subject to a bankruptcy proceeding? Do not include personal bankruptcies, unless they involve funds held on behalf of others.
Yes ___ No___
If you answer yes, submit a statement summarizing the details of the indebtedness and arrangements for repayment, and/or type and
location of bankruptcy.
4. Have you been notified by any jurisdiction to which you are applying of any delinquent tax obligation that is not the subject
of a repayment agreement?
Yes ___ No___
If you answer yes, identify the jurisdiction(s): _______________________________________
5. Are you currently a party to, or have you ever been found liable in, any lawsuit, arbitrations or mediation proceeding involving allegations
of fraud, misappropriation or conversion of funds, misrepresentation or breach of fiduciary duty?
Yes ___ No___
© 2014 National Association of Insurance Commissioners
Page 3 of 5
Please note the application may be revised on a bi-annual basis. To ensure you are filing the current version of the application, please
reference the National Insurance Producer Registry web site at www.nipr.com.
Uniform Application for
Individual Insurance Producer License/Registration
Applicant Name:
_________________________________________________
If you answer yes, you must attach to this application:
a)
a written statement summarizing the details of each incident,
b)
a copy of the Petition, Complaint or other document that commenced the lawsuit or arbitration, or mediation proceedings, and
c)
a copy of the official documents, which demonstrates the resolution of the charges or any final judgment.
6. Have you or any business in which you are or were an owner, partner, officer or director, or member or manager of a limited liability
company, ever had an insurance agency contract or any other business relationship with an insurance company terminated for any
alleged misconduct?
Yes ___ No___
If you answer yes, you must attach to this application:
a) a written statement summarizing the details of each incident and explaining why you feel this incident should not prevent you
from receiving an insurance license, and
b) copies of all relevant documents.
7. Do you have a child support obligation in arrearage?
Yes ___ No___
If you answer yes,
a)
by how many months are you in arrearage?
b)
are you currently subject to and in compliance with any repayment agreement?
________Months
c)
are you the subject of a child support related subpoena/warrant?
Yes ___ No___
(If you answered yes, provide documentation showing proof of current payments or an approved repayment plan from the appropriate
Yes ___ No___
state child support agency.)
N/A ___ Yes ___ No___
8. In response to a “yes” answer to one or more of the Background Questions for this application, are you submitting document(s) to the
NAIC/NIPR Attachments Warehouse?
If you answer yes
Will you be associating (linking) previously filed documents from the NAIC/NIPR Attachments Warehouse to this application?
Yes ___ No___
Note: If you have previously submitted documents to the Attachments Warehouse that are intended to be filed with this application,
you must go to the Attachments Warehouse and associate (link) the supporting document(s) to this application based upon the
particular background question number you have answered yes to on this application. You will receive information in a follow-up
page at the end of the application process, providing a link to the Attachment Warehouse instructions.
© 2014 National Association of Insurance Commissioners
Page 4 of 5
Please note the application may be revised on a bi-annual basis. To ensure you are filing the current version of the application, please
reference the National Insurance Producer Registry web site at www.nipr.com.
Uniform Application for
Individual Insurance Producer License/Registration
Applicant’s Certification and Attestation
The Applicant must read the following very carefully:
39
1.
I hereby certify that, under penalty of perjury, all of the information submitted in this application and attachments is true and complete. I am aware that
submitting false information or omitting pertinent or material information in connection with this application is grounds for license revocation or denial of
the license and may subject me to civil or criminal penalties.
2.
Unless provided otherwise by law or regulation of the jurisdiction , I hereby designate the Commissioner, Director or Superintendent of Insurance, or other
appropriate party in each jurisdiction for which this application is made to be my agent for service of process regarding all insurance matters in the
respective jurisdiction and agree that service upon the Commissioner, Director or Superintendent of Insurance, or other appropriate party of that jurisdiction
is of the same legal force and validity as personal service upon myself.
3.
I further certify that I grant permission to the Commissioner, Director or Superintendent of Insurance, or other appropriate party in each jurisdiction for
which this application is made to verify information with any federal, state or local government agency, current or former employer, or insurance company.
4.
I further certify that, under penalty of perjury, a) I have no child-support obligation, b) I have a child-support obligation and I am currently in compliance
with that obligation, or c) I have identified my child support obligation arrearage on this application.
5.
I authorize the jurisdictions to which this application is made to give any information concerning me, as permitted by law, to any federal, state or municipal
agency, or any other organization and I release the jurisdictions and any person acting on their behalf from any and all liability of whatever nature by reason
of furnishing such information.
6.
I acknowledge that I understand and will comply with the insurance laws and regulations of the jurisdictions to which I am applying for licensure.
7.
For Non-Resident License Applications, I certify that I am licensed and in good standing in my home state/resident state for the lines of authority requested
from the non-resident state.
8.
I hereby certify that upon request, I will furnish the jurisdiction(s) to which I am applying, certified copies of any documents attached to this application or
requested by the jurisdiction(s).
__________________________________________________
Month/Day/Year
_________________________________________________________________
Original Applicant Signature
_________________________________________________________
Full Legal Name (Printed or Typed)
Attachments
40
The following attachments must accompany the application otherwise the application may be returned unprocessed or considered deficient.
1.
For Non-Resident License Applications and unless otherwise noted in the State Matrix of Business Rules, a state will rely on an electronic verification of an
Applicant’s resident license through the NAIC’s State Producer Licensing Database in lieu of requiring an original Letter of Certification from the resident state.
2.
Any jurisdiction specific attachments listed in the State Matrix of Business Rules (www.nipr.com).
© 2014 National Association of Insurance Commissioners
Page 5 of 5
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