Apply for a Firm Resident License

Use the Apply for a Firm Resident License service to enter information in an online resident license application form for a firm (agency) and submit the application electronically to the resident state for processing.

The process involves the following steps:

Enter Basic Information

Enter basic identifying information about the applicant and select the state to which you wish to submit a resident license application.

Required. In the Firm Name field, enter the applicant's full business name.
Required. In the EIN field, enter the applicant's federal Employer Identification Number.
Required. In the Preparer field, click the Authorized Submitter radio button if you are applying for this license on behalf of an applicant. Or, click the Applicant radio button if you are applying for this license on your own behalf.
Required. In the States Accepting Electronic License Applications section, click to select the radio button that corresponds to the state to which you want to submit an electronic resident license application.

Click the Continue button.

Select Licenses

The License Information section displays license types available in the selected resident state. Select the license for which you want to apply.

Review the value of the State field, and verify it is correct. If it is incorrect, click the Back button at the bottom of the page to choose a different state.
If the selected state offers multiple firm resident license types, in the License Type field, click to select the radio button that corresponds to the type of license you want to apply for

If the selected state offers only one resident license type, the License Type field will display the name of the sole available license type.

In the Previously licensed? field, click the Yes radio button if the agency has been previously licensed in the state; click the No radio button if the agency has never been licensed in the state.
From the Cost Center dropdown menu, select the accounting cost center to which you want to assign the fees for the license application.
If desired, click the Click here to view state requirements link to open a new browser window containing detailed information about applying to the state for the available license types.
Click the Continue button to proceed.

Select LOA

The Qualifications section displays the qualifications (license lines or LOA) available in the selected state that are supported by the selected license type. Select the qualifications for which you want to apply.

Click to checkmark the Qualification Code checkbox that corresponds to each license line or LOA you want to apply for.
Click the Continue button to proceed.

Enter Agency Information

The Agency Information section collects additional business information that the system needs in order to prepare the agency's resident license application for state processing. You must enter data in all of the required fields before you can continue the license application process.

Required. In the FEIN field, enter the agency's federal Employer Identification Number.
Required. In the Firm Name field, enter the agency's full business name.
In the License Number field, if the agency has already been issued a resident license by the selected state, enter the agency's existing license number.
Required. In the Incorporation Date field, enter the date on which the agency was incorporated in its residence state. Use the mmddyyyy date format. Or, click the Calendar button () to open a popup calendar from which you can click to select a date.
Required. From the Agency Type Code dropdown menu, select the agency's organization structure.
Required. From the Domicile Country dropdown menu, select the nation or principality in which the agency is domiciled.
May be required, if available. From the Affiliated With a Bank? dropdown menu, select Yes or No.
Required. In the Email Address field, enter the agency principal's, agency administrator's, or other general business email address.
If desired, in the Business Web Address field, enter the agency's web address.
May be required, if applying for a variable line of authority. In the FINRA CRD Identifier field, enter the agency's Central Registration Depository (CRD) number.
In the Firm Alias Information section, if applicable, enter up to 99 of the agency's business alias or alternate identities. Enter any other assumed, fictitious, alias, or trade names which the agency has used in the past or is currently doing business as or intends to do business as. Select the type of alias from the Type dropdown menu and enter alias information in the name fields. Note: A license application to certain states may restrict you to entering only one alias.
Required. In the Agency Business Address fields, enter the agency's business address information .
Required. In the Agency Mailing Address fields, enter the agency's mailing address information.
Required. In the Agency Business Phone Number field, enter the agency's work phone number.
If desired, in the Agency Fax field, enter the agency's fax number.
Click the Continue button to proceed.

Enter Submitter Information

The Submitter Information section is required only if you selected the Authorized Submitter radio button in the Preparer field in the Basic Information section. Much of the information is obtained from information contained in the staff member's user account in AgencyEDGE. (For more information, see Edit My User Profile.)) Enter all required fields.

Required. In the First Name field, enter the submitter's first name.
In the Middle Name field, enter the submitter's middle name.
Required. In the Last Name field, enter the submitter's last name.
In the Suffix field, enter the submitter's name suffix.
Required. In the Title field, enter the submitter's job position title.
Required. In the Firm Name field, enter the name of the submitter's company.
Required. In the Line One field, enter the first line of the submitter's company's address.
In the Line Two field, enter the second line of the submitter's company's address.
Required. In the City field, enter the city of the submitter's company's address.
Required. From the State dropdown menu, select the state of the submitter's company's address.
Required. In the Postal Code field, enter the postal or ZIP code of the submitter's company's address.
Required. In the Phone Number field, enter the submitter's telephone number, including area code.
In the Extension field, enter the submitter's telephone extension.
Required. In the Email Address field, enter the submitter's or your department's email address.
Click the Continue button to proceed.

Enter Agency Ownership Information

In the Owners and Officers section, enter identifying information about the ownership, partnership, or directorship of the agency applicant.

Required. From the Type dropdown menu, select whether the agency is owned or controlled by an Individual or another Agency.
Required. In the SSN/EIN field, if you selected Individual in the Type field, enter the individual's Social Security Number; if you selected Agency in the Type field, enter the agency's federal Employer Identification Number.
In the Agency field, if you selected Agency in the Type field, enter the agency's full business name.
In the First Name field, if you selected Individual in the Type field, enter the individual's first name.
In the Last Name field, if you selected Individual in the Type field, enter the individual's last name.
Available and required in certain states only. In the Birth Date field, enter the owner's or officer's date of birth. Use the mmddyyyy date format. Or, click the Calendar button () to open a popup calendar from which you can click to select a date.
Required. In the Title field, enter the positional title of the owner or officer.
Required. From the Owner dropdown menu, select Yes if the entity you are identifying is an owner of the agency; select No if the entity you are identifying is an officer or board member of the agency.
From the Percent Ownership dropdown menu, select the owner's or officer's percentage of ownership in the agency. Use whole numbers. If entering only one owner or officer, value must be 100; if entering multiple owners and officers, total percentage may exceed 100.
Repeat the preceding steps in succeeding owner/officer fields as necessary.
If desired, click the Add More Owners and Officers button to enable fields to enter information about additional owners or officers.
When you are finished, click the Continue button to proceed.

Enter Designated/Responsible Licensed Producer Information

In the Designated/Responsible Licensed Producers section, you may enter information about one or more individuals who are affiliated with the agency and who hold a license in the state to which you are applying for an agency license. A Designated/Responsible Licensed Producer (DRLP) may be an agency owner or director (if licensed), a managing general agent, an agency principal, etc.

If you already have entered identifying information about an individual elsewhere in the license application, such as in the Owners and Officers section, and you want to identify that individual as the DRLP, click the Copy From link to open a dropdown menu. From the dropdown menu, click the name of the desired individual. Required information about the individual will populate the remaining fields in the Designated/Responsible Licensed Producers section.
Required. In the SSN field, enter the DRLP's Social Security Number.
Required. In the First Name field, enter the DRLP's first name.
Required. In the Last Name field, enter the DRLP's last name.
In the National Producer Number field, enter the DRLP's National Producer Number (NPN).
To add another DRLP, click the Add Another [LicenseStateName] DRLP link to offer additional data entry fields.
Repeat the preceding steps in succeeding DRLP fields, as necessary.
When you are finished, click the Continue button to proceed.

Answer Background Questions

The Background Questions section contains uniform and/or state-specific questions pertaining to the personal and professional background and ethical conduct of the agency's owners, partners, officers, or directors or the business integrity of the agency itself. You are required to answer all of the background questions.

Use the following guidelines:

It is in your best interest to answer all background questions honestly and to provide additional information to the state when necessary. In some cases, you will need to submit additional documentation to the state insurance department to support your answers. (Read each question carefully to determine if your answer will require you to send supporting documentation.)
If your response to any question requires you to submit supporting documentation, you may elect later in the license application process to upload electronic files to support or explain your answer (court papers, etc.) directly to your license application. The attached documentation will be submitted to the state department of insurance together with your license application for review by the insurance department. (You also may mail or fax your supporting documentation to the insurance department separate to your license application; however your application will remain in pending status until the state receives the supporting documentation.)

Use the following steps:

Click to select either the Yes or No radio button to respond to each question. Depending on your response to a background question, a free text field may become enabled, allowing you enter an explanation or other related information.
The NAIC/NIPR Attachments Warehouse question is available only depending on your answer to a uniform background questions requiring you to submit documentation in support of your license application to certain states. (For more information, see Upload Documentation to the NIPR Document Warehouse.)

If you need to submit additional documentation to support answers to background questions, you may either submit the documentation as an electronic attachment to your license application or mail or fax the documentation to the state department of insurance.

Click to select the Yes radio button if you intend to upload or have already uploaded supporting documentation to the NAIC/NIPR Attachments Warehouse, or click to select the No radio button if you will send supporting documentation separately.

If you answered Yes to the NAIC/NIPR Attachments Warehouse question, and you have already uploaded documentation to the NAIC/NIPR Attachments Warehouse, you can associate your license application to the existing supporting documentation rather than upload new documentation.

If you wish to link your license application to previously filed documents, click to select the Yes radio button, or click to select the No radio button if you will be uploading new supporting documentation.

When you are finished, click the Continue button to proceed.

Attest to the Application

You must swear that the information you are submitting with the license application is complete, truthful, and accurate.

Read the attestation carefully.
Required. When you are finished, if you submit to the terms of the attestation, click to checkmark the I Agree checkbox.
Click the Continue button to proceed.

Acknowledge the State License Application Fee

For your information, the system may calculate the state fee for the license application you are submitting.

Review the fee information.
Click the Continue button to proceed.

Submit the License Application

Review the summary details of the license application transaction in the License Application Summary section.

Review the basic applicant information at the top of the page.
If you need to return to the application and update information you entered earlier, click the Review License Application link.
In the Electronic Applications section, review the fee totals for the state to which you are applying, including the state license application fee and the fee for using AgencyEDGE to prepare and electronically submit your license application.
In the Fee Summary section, review the fee grand totals, including state fees, AgencyEDGE fees, and credit card processing fees (if applicable).
Click the Click here to view additional state requirements link to open a new browser window containing detailed information about concluding the application process in the state to which you are applying.
When you are ready to submit the license application, click the Submit button.

Complete the Process

Review the confirmation and receipt information for your license application transaction and perform follow-up tasks on the License Application Confirmation page.

Review the confirmation message and basic applicant information at the top of the page.
If desired, click the Print link at the top of the page to open a printable view of the License Application Confirmation page.
If you need to send supporting documentation to the state department of insurance, choose one of the following:
- Click the Attach Documents link at the top of the page to open a separate window with instructions on attaching electronic files to your license application and transmitting them at no charge to certain states. (For more information, see Attach Supporting Documents to Sircon States.)
- If the Attach Documents link is not available, click the Click here to view additional state requirements link below the Fee Summary section to access the NAIC/NIPR Attachments Warehouse, where you may attach electronic files to your license application and transmit them for a fee to other states. (For more information, see Upload Documentation to the NIPR Document Warehouse.)
- If you do not wish to transmit supporting documentation electronically, click the state name link displaying in the Dest. State field in the Electronic Applications section. A separate window will open with follow-up information for the selected state, including where to mail or fax supporting background question documentation, how to review the status of the license application, and what to do if there are delays or errors.

In the Electronic Applications section review the details of the electronic license application transactions per state. If desired, click the Snapshot button () or number link displaying in the Confirmation ID field. A separate window will open displaying a printable, HTML-format version of your completed license application for that state.
In the Fee Summary section, review the fee grand totals, including state fees, AgencyEDGE fees, and credit card processing fees (if applicable).
Click the View Result Details button to open the License Application Result Details page to review additional information about the license application transaction. (For more information about the License Application Result Details page, see License Application/Renewal Status Inquiry.)
When you are finished, click the Done button. The License Application MenuTransactions List page will open.

To check the ongoing processing status of one or multiple submitted license applications, use the License Application/Renewal Status Inquiry.

The information required to process a license application differs from state to state. Therefore the fields and controls and the order in which they appear on the Apply for a Firm Resident License page may vary, depending on the state to which you are submitting the application.

The system will send a confirmation email to the email address you enter in the Business Email Address field with an updated status on a license application and information on how to follow up on its status.

If you are using the NAIC/NIPR Attachments Warehouse to upload supporting background question documentation, you can view information on how to access the service in the Description field of the License Application Result Details page. (For more information, see License Application/Renewal Status Inquiry and Upload Documentation to the NIPR Document Warehouse.)

If you need to change any information on your application after you have submitted it, send the changes in writing to the appropriate state office. Do not attempt to submit changes electronically using AgencyEDGE. Submitting another application with updated information will be considered a new request and will result in an additional charge.

When entering mailing, business, or residence address information, do not enter a slash (such as in "c/o") or parenthesis in the Line One field. The Line One field may contain only ampersands, letters, digits, spaces, pounds, hyphens, commas, colons, apostrophes, or periods.