The Applicant must read the following very carefully and answer every question. All written statements
submitted by the Applicant must 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 misdemeanor?
Yes ___ No___
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)
1
b. 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 military offense?
Yes __ No ___
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.
I
f 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.
I
f 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___