Pre-Quote Questionnaire
Pre-Engagement Compliance & Licensing Questionnaire (Required prior to proposal or pricing).
URL
This field is for validation purposes and should be left unchanged.
Company Overview
Tell us about your company and the best point of contact.
Company Legal Name (as registered)
(Required)
DBA / Trade Name(s) (if any)
Primary Business Address
Street Address
Address Line 2
City
ZIP Code
Website URL(s)
List any websites used for marketing or operations.
Primary Point of Contact, Title
(Required)
Primary Point of Contact, Name
(Required)
Primary Email
(Required)
Primary Phone
(Required)
Brief Description of Your Business Activities
Primary Business Activities (select all that apply)
(Required)
Property management
Residential transaction brokerage
Commercial brokerage
Mortgage or affiliated services
Other (describe below)
If Other, please describe
Ownership and Control
Ownership information impacts licensing, disclosures, and eligibility in many states.
Ownership Structure
(Required)
Individual
Partnership
LLC
Corporation
Other
If Other, please describe ownership structure
Any planned ownership changes, mergers, or restructuring in the next 12 months?
(Required)
Yes
No
If yes, please explain
States of Operation
Where you operate, and where you plan to operate, drives broker structure and pricing.
States where you currently operate (select all that apply)
(Required)
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
States where you plan to operate within the next 12 months (select all that apply)
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
For each state, describe your current licensing status (active broker license, operate under a broker, operate without a broker, unsure)
(Required)
Are you currently managing or transacting in any state before licensure or broker approval?
(Required)
Yes
No
If yes, please explain (state(s), activity, and timing)
Broker and Supervision Structure
Tell us how broker responsibility and supervision are currently handled.
Current broker structure (select all that apply)
(Required)
In-house brokers
Contracted or affiliated brokers
Nominal or "rented" broker arrangement
No broker structure
Unsure
For each broker currently associated with your firm, provide: Name, State(s), Role (Designated/BOR/QB), employment or contract status
Has any broker resigned, been terminated, or withdrawn in the past 24 months?
(Required)
Yes
No
If yes, please describe (who, which state(s), and when)
Do you maintain written supervision policies today?
(Required)
Yes
No
Partial or informal
Personnel and Operations
Staff composition and workflows affect supervision obligations.
Approximate number of licensed agents
Enter a number.
Approximate number of unlicensed assistants
Enter a number.
Approximate number of property managers
Enter a number.
Approximate number of administrative staff
Enter a number.
Are unlicensed staff involved in regulated activities?
(Required)
Yes
No
Unsure
Do you operate branch offices?
(Required)
Yes
No
If yes, list branch locations (city, state) and whether each is licensed/registered
Trust Handling and Financial Activity
If you handle client or tenant funds, trust compliance and documentation are critical.
Do you handle client or tenant funds?
(Required)
Yes
No
If yes, which fund types do you handle? (select all that apply)
Trust accounts
Security deposits
Rent collections
Escrow funds
Other
Are trust accounts reconciled monthly?
Yes
No
Not applicable
Who currently oversees trust compliance?
Broker
Accounting
Third party
No formal oversight
Not applicable
Advertising and Marketing
Advertising is a common enforcement trigger. We need to understand your channels and review process.
Where do you advertise? (select all that apply)
Website
Social media
Online listing platforms
Print materials
Other
Are advertisements reviewed by a broker prior to publication?
(Required)
Yes
No
Have you ever been cited, warned, or instructed to change advertising by a regulator?
(Required)
Yes
No
If yes, please describe (state, date, and issue)
Compliance History
Prior audits, investigations, or consent orders affect risk and engagement scope.
Has your firm or any principal ever been involved in any of the following? (select all that apply)
(Required)
Audit by a real estate commission
Investigation
Citation or fine
Consent order
None
Are there any pending complaints or inquiries today?
(Required)
Yes
No
If yes, please describe (state, issue, status)
Documentation and Systems
Regulators evaluate supervision and documentation. Tell us what you have today.
Do you currently maintain the following? (select all that apply)
(Required)
Written policies and procedures
Training records
License tracking system
Audit documentation
None
How are compliance records stored today?
(Required)
Centralized system
Shared drives
Email or ad hoc
Unsure
Growth and Expectations
This helps us scope the engagement and price accurately.
What is prompting this inquiry? (select all that apply)
(Required)
Multi-state expansion
Broker turnover risk
Compliance concerns
Regulatory inquiry
Investor or lender requirement
Other
Desired timeline
(Required)
Immediate
30 to 60 days
60 to 90 days
More than 90 days
What are your primary objectives of our engagement? + Notes.
Acknowledgment
I understand that pricing and engagement structure depend on regulatory complexity, number of states, operational risk, and existing compliance gaps. Submission of this questionnaire does not guarantee engagement or pricing.
Acknowledged
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