Pre Quote Questionnaire

Pre-Quote Questionnaire

Pre-Engagement Compliance & Licensing Questionnaire (Required prior to proposal or pricing).

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)

If Other, please describe ownership structure

Any planned ownership changes, mergers, or restructuring in the next 12 months?(Required)

Yes

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)

States where you plan to operate within the next 12 months (select all that apply)

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

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Has any broker resigned, been terminated, or withdrawn in the past 24 months?(Required)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

If yes, please describe (who, which state(s), and when)

Do you maintain written supervision policies today?(Required)

Yes

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

Unsure

Do you operate branch offices?(Required)

Yes

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

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

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

Have you ever been cited, warned, or instructed to change advertising by a regulator?(Required)

Yes

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

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