Persons seeking a preliminary advisory opinion regarding the potential effect that previous conduct, criminal convictions or action against a professional license may have on a formal application for licensure as a real estate broker, appraiser or mortgage loan officer.
Preliminary Advisory Opinions
- This opinion is issued in order to provide preliminary advisory guidance. This opinion is not binding on the Boards or Commission, nor does it limit the Board’s or Commission’s authority to investigate a formal application for licensure.
- An individual seeking a preliminary advisory opinion is not an applicant for licensure and the issuance of an unfavorable opinion shall not prevent such individual from making an application for licensure pursuant to the licensing law and the rules and regulations of the applicable Boards or Commission.
Occupational License Actions (If applicable)
If you have had a disciplinary action against a professional license you’ll be required to upload:
- A signed written statement from the applicant, including name of agency, license type, dates nature of alleged infraction and deposition.
- A copy of the original charges or complaint against you.
- A copy of any agency order or other notification of the action taken.
- A confirmation of the current status of the license, certification or registration.
Criminal Background Review and Document Requirements
Your application will have a background section that you must complete. If you answer yes on any of the four (4) questions in the section you will be prompted to provide the below documentation before you submit your application.
This information requested is to provide the appointed board and/or commission members the ability to make the the determinations required by law.
If the court or police inform you that the documents are no longer available, you will need to obtain a written statement of confirmation to that effect from the appropriate party.
- It is your responsibility to contact the appropriate court, police department, probation office or other agency to obtain the required letters, statements or other documents.
- Computer printouts are not acceptable.
- Please obtain actual court documents with signatures.
- In most criminal cases, the county in which the violation occurred will also be the location of the court that you will need to contact. These records are public and are contained in a central file of cases.
- You will need to ask the court clerk how you can arrange to have copies made of your case file.
Provide all of your Original Charging Documents.
The original charging document sets forth the specific violations (often referred to as “counts”) under which you were charged.
Depending on the jurisdiction, this document may be captioned as:
- a Complaint, Information,
- Complaint and Information,
- Criminal Complaint,
- Summons and Complaint,
- Indictment or other designation.
Provide all of your Police Officer’s Reports or Arrest Affidavits
If a police report or arrest affidavit remains part of the Court’s criminal case file, please include a copy of that report with your application materials. Otherwise, the arresting, ticketing or charging agency will have a report on the incidences and factual matters related to filing of charges.
This report will usually be found at the office of the arresting or ticketing law enforcement agency (police department, sheriff's office, etc.).
If the police report is not a part of your court records, you must contact the appropriate agency to obtain a copy.
Provide a Written Explanation
- A description of the factual events and the actions that led to the charges being filed against you.
- An explanation, from your perspective, of the circumstances, reasons or situations that contributed to charges being filed against you. This includes any information or explanation that you believe mitigates or lessens the severity of your actions or the charges.
- A description of any changes, events or accomplishments that illustrate rehabilitation and that you are truthful, honest and a person of good moral character. This could include having met the court’s terms of sentence such as: having made restitution, completing probation or completing community service. Your statement should also include a description of any of the following: voluntary involvement in community, public or privately sponsored programs or activities of benefit to the community, new and different social and business relationships, stability of family and financial matters, enrollment in or completion of education or vocational training, involvement in training or counseling for the purpose of self-improvement or advancement, substance abstinence and/or abuse programs, intervention programs, therapy, self-realization, awareness and personal growth and/or any other information you believe is illustrative of changes of attitude, circumstances and environment that may have contributed to having the charges filed against you. This is your opportunity to illustrate to the Board that you have been rehabilitated and that you are truthful, honest, and a person of good moral character.
- Your statement must include your signature and also conclude with the statement "I have no other violations either past or pending", if that is true in your case.
Provide all of your Judgment or Sentence Orders
This document shows the specific charge to which you pled or were otherwise adjudged guilty, as well as the Court’s terms of sentencing.
Provide all of your Amended Charges (If applicable)
If the original charge or charges were thereafter amended, provide a copy of the amending document.
Provide all of your Terms and Conditions of Probation
In some cases, if probation is included as part of the Court’s Sentence Order, the Court will issue a separate document setting forth the specified terms and conditions of probation.
- Successful Completion of Probation: If a Court-ordered term of probation has been successfully completed, provide a copy of the Court’s order of termination of probation or, in the alternative, a letter of verification from the respective probation department.
- Probation in Progress: If the Court-ordered term of probation remains in progress, provide a letter from your probation officer indicating the current status of your probation.
- Probation Revocation Documents: If the Court-ordered term of probation was ever revoked, provide a copy of the underlying Complaint for Revocation of Probation, as well as the Court’s revised Sentence Order.
Provide all of your Deferred Judgments
If the Court’s original Sentence Order provided for a Deferred Judgment/Sentence, and such has been successfully completed, provide a copy of the Court’s order to withdraw the original guilty plea.
(Optional) Provide a Personal Written Statement
If you choose, include a written statement on your behalf.
(Optional) Provide Letters of Recommendation
If you choose, include written statements from others. Examples include past and present employers, past and present co- workers, probation officers, court officers, public officials, clergy, business and industry leaders, family and friends.
These letters, while not required, are an indication to the Board that others in the community are confident that you are rehabilitated and are able to handle the responsibility and trust that comes with the professional license you are seeking.
Letters submitted on your behalf should identify the writer's relationship to you and indicate the writer's knowledge of your past violation or conviction and your subsequent rehabilitation, honesty, truthfulness and good character. Writer must include a contact number and email address.
If applicable, written statements or other evidence from medical, psychological or other professionals who are competent to address conditions existing either at the time of the underlying conduct or presently.
(Optional) Provide your Employment History
If you choose provide a document that includes employer, position, dates of employment, reason for leaving for each position you have had in the last five (5) years.