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Annual Recertification

Company Information

Legal Name of the Entity *

Required

Company NMLS# *

Required Use 0000 if your company doesn’t have NMLS

Doing business as

Street address (No P.O. Box) *

Required

City *

Required

State *

Required

ZIP Code *

Required

Phone *

Required

Contact Email *

Required

Broker of record

Broker NMLS#

Financial Statements

Please upload one of the following Financial Statements for Your Company: Audited, Balance Sheets, Tax Returns, Signed P&L or CPA‑signed
Upload files *

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Acceptable formats: HEIF, HEIC, PNG, JPEG, DOC, DOCX, PDF, PPT, PPTX, RTF, GIF, XLSX
Maximum file size: 20 MB

Please upload the files
    Please note that you can also use AD's template for a Balance Sheet available on this page
    Download Balance Sheet Template

    Principal(s) / Senior(s) / Manager(s)

    Full name *

    Required

    Title *

    Required

    Last Four SSN *

    Required

    Recertification Questionnaire

    1. In the past year, has your company or any of its principals or corporate officers filed for bankruptcy protection?*
      Required
    2. Has your company or its principals had any professional licenses suspended, revoked, or been subject to disciplinary action by a regulatory authority in the past year?*
      Required
    3. Has any investor requested that your company repurchase mortgages or provide indemnification in the past year?*
      Required
    4. Has your company’s Mortgage Insurance Master Policy been canceled or suspended in the past year?*
      Required
    5. Has your company received any negative findings regarding mortgage operations in an audit, examination, or report by FHA, VA, Fannie Mae, Freddie Mac, or any other regulatory or supervisory agency?*
      Required
    6. In the past year, has any owner, partner, officer, or director of your company been associated with a business that was suspended by FHA, VA, Fannie Mae, or Freddie Mac?*
      Required
    7. Has there been any significant change in company ownership, board of directors, or senior management in the past year?*
      Required
    8. Has your company acquired or ended ownership in any other businesses during the past year?*
      Required
    9. Does your hiring process include screening all employees involved in mortgage loan origination against the GSA Excluded Parties List, HUD LDP List, and FHFA SCP List?*
      Required
    10. Does your company adhere to the quality control standards for responsible lending as recommended by Fannie Mae or Freddie Mac?*
      Required
    11. Is there an Anti-Money Laundering (AML) program established within your company?*
      Required
    12. Does your company comply with all relevant federal, state, and local laws and regulations governing mortgage lending and brokerage, including ECOA, TILA, RESPA, Bank Secrecy Act, Fair Housing Act, Gramm-Leach-Bliley Act, SAFE Act, MAP Rule, FCRA, and applicable state laws?*
      Required
    13. Are you licensed and in compliance with all applicable state and federal laws for lending in the states where you conduct business?*
      Required
    Required
    Required
    Required
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