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NMLS
Individual (MU4) Form Filing -
Extended
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2
Are you Ready?
If you are required by your state regulator or your mortgage company to complete and submit your own Individual (MU4) Form, the instructions below will help you file, provide access to your company, and follow-up on your license status.
Have the following on hand:
• Residential history, including to and from dates (mm/yy) and addresses for the past 10 years.
• Employment history, including to and from dates (mm/yy) and addresses for the past 10 years.
• All names used since age the age of 18, including alias, aka, maiden name, etc.
• Documentation evidencing that all state specific requirements have been completed. These documents can be found in the State Licensing section of the NMLS Resource Center.
• You will be required to pay the applicable fees (licensing, criminal background check, credit report and NMLS processing fees); available payment methods are Visa, MasterCard, or ACH.
• Verify with your Company the States you should be filing with.
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Review your
State Requirements Checklist
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Go to the NMLS Resource Center at:
http://mortgage.nationwidelicensingsystem.org
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Enter the State Licensing Page
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6Choose the appropriate license state
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Identify the appropriate license. Consult license description and details.
Existing Licensees print “Transition to NMLS” checklist.
New Licensees print “New Application” checklist.
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• Gather all required documentation listed
on the Requirements Checklist.
• Include your NMLS Unique ID# on the top
of the checklist once you have created
your NMLS account. (your ID# can be obtained by going to
Composite View tab and View Individual. The ID# will be in parenthesis
next to your name)
• Mail the checklist and all required docs
within 5 days of submitting your filing in
NMLS.
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Request your
Individual NMLS Account
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Click the “Log into NMLS” button in the top right corner of
the NMLS Resource Center
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Select “Request an Account.”
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Select “Individual”
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Enter requested information and click Next.
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14Fill in all information, be sure to use your Legal Name and
click Next.
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Confirm all data entered is correct, then click Confirm.
NOTE: Once you click finish, only the NMLS Call Center can
correct the Date of Birth and Social Security Number fields.
This process can take several days.
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NMLS_Notifications will send two emails. One will contain your
user name. The other will contain your temporary password.
Copy and paste your temporary password
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When you receive your emails, return to the NMLS login. Type in
your user name. Copy and paste in the temporary password.
Click Log In.
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Review the terms of use and click the “I Agree” button.
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After logging in you will be required to change your password.
Paste in your temporary password again, then create your new
password.
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**Many state agencies require a passing
score on the National Component with
Uniform State Content and/or State
Components of the SAFE MLO Test and
completion of pre-licensure education prior
to submitting the Individual (MU4) Form
application for licensure.
The next steps will walk you through enrolling in a test.
Visit the NMLS Resource Center to schedule a test and
enroll in a course for pre-licensure education.
20
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ENROLLING
IN A TEST
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To enroll in the National or State Component of the SAFE MLO
Test, click the MLO Testing & Education tab.
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Click the Testing sub-menu.
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Click “Select by State” to select test enrollments from a list
of required tests in the state selected. This option allows you
to select both the National Component with Uniform State
Content and/or a State Component.
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Select the state(s) where you want to apply for a mortgage
loan originator license. Then click NEXT.
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Select one or more tests and click ADD TO CART.
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Review your test cart and click Proceed to Invoice to
proceed with the rest of the payment process.
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You have successfully enrolled in a test!
You should receive an email confirmation
instructing you to schedule your test.
You must proceed to the testing section of the
NMLS Resource Center to schedule your
test.
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SUBMITTING
AN INDIVIDUAL
(MU4) Form
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Click on the Filing tab at the top of the screen.
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Click on Individual on sub-menu.
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Click Request New/Update. If you already have a pending filing,
click the Edit button to edit the filing.
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Click Continue to proceed with the filing.
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Any existing license filings will appear. Click Add to
select additional licenses.
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Select only the states you have verified with your
company and click Next.
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Select the license type you wish to transition or apply for and
click Next.
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When you are transitioning an existing LO license, enter your
current LO license number (not the company number). If you do
not have a current license, leave blank. Click Next.
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Confirm the license type(s) selected are accurate.
Click Finish.
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Total Charges appear in the upper right hand corner
of the screen. The globe icon will link you back to the
State Specific Requirement Checklists. To continue,
click Next.
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41Enter all data. Click Save. Then click Next.
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Enter any “other names” you have been known by or
used since the age of 18 by clicking the “Add”
button. Click Next.
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Ten years of residential history with NO GAPS is
required. Click Add to enter details for each location.
Once complete, click Next.
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When entering your CURRENT address, leave the “To” field blank.
The format for any dates input should be “MM/YYYY.”
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Ten years of employment history with NO GAPS is required. Click Add to
enter details for each period. Once complete, click Next.
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If a student, enter school name and address.
If unemployed, enter “Unemployed” in “Position Held” field and list home
address.
Indicate at the bottom of the screen if the position held is financial services
related. Click Save.
The format for any dates input should be “MM/YYYY.”
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Add any “Other Business” you are involved in.
If none, click Next.
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Answer all disclosure questions. Any “yes” answer will require
explanation to be provided in the Disclosure Explanations section.
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An explanation is required for each disclosure question with a ‘Yes’
response. Explanations cannot be provided for ‘No’ responses. Select
Add to provide an explanation if necessary. For more details on
completing disclosure explanations, see the Disclosure Explanations
Reference Guide.
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Indicate if you are requesting a Federal Criminal Background Check.
Complete the demographic information and click Save. Select Next
to continue with the filing.
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Select that you are requesting a new credit report. Turn on the
Completeness Check icon ( ) to generate the Identify Verification link.
Select the Identify Verification (IDV) link in the yellow bar.
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Select “Proceed to IDV” to complete the Identify Verification
Process.
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Select “Verify Me” to proceed to the verification questions.
Answer the questions appropriately and select Continue.
Proceed back to NMLS to complete the MU4 filing.
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Select “Return to Filing” to complete the Individual
Filing (MU4).
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Upload any required documentation listed in your state licensing
checklist. Refer to the Individual Document Upload quick guide for
assistance. The Document Descriptions and Examples Guide explains
the documents that can be uploaded and access restrictions.
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The completeness check will list any incomplete areas of the MU4. Click
on the link to go to an incomplete area. When all outstanding items are
satisfied, click on the Attest and Submit section again to see a
breakdown of fees, attestation language, and submit.
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Once complete and all Jurisdiction Specific Requirements have been
dropped in the mail, review the legal attestation and click Submit
Filing. If you submitted a new fingerprint CBC request, wait for the
filing to process and select the link to schedule your fingerprint
appointment.
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You can pay the licensing and processing fees by Visa,
Master Card or ACH. Once you pay, you will receive a
payment confirmation number. Print the confirmation
number for your records.
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Next Steps
The next few slides will show you how.
1. Provide your company access to your NMLS record so that they can sponsor your license (if their license is managed through NMLS).
2. Follow-up on your license status.
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To provide Company Access to your NMLS record:
1. Login to NMLS
2. Click the Filing tab
3. Click Company Access
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Click Add.
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Obtain the NMLS ID from your company. Enter the company NMLS ID
number or the company exact name and click Search.
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Check the box next to the company or branch you are associated with
and click Save.
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The company selected now has access to your NMLS record.
Notify your company that access has been granted so they can sponsor
your license.
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Viewing your
Status in NMLS
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To check your license, test, CBC, and education
status:1. Click the Composite View tab
2. Click View Individual
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Click View License/Registration List on the left navigation panel.
Filings you have submitted will appear with the current status.
Click on the link under License Items to see Requirements or Deficiencies noted
by the Regulator.
A Pending-Incomplete Status will appear for all new applicants and a Transition
Requested Status will appear for those transitioning until the regulator changes
the status during the review process.
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The regulator will indicate items needed to resolve Deficiencies.
A common Deficiency is Company Sponsorship. Once you have
submitted your MU4 filing, alert your company so they can create a
sponsorship request.
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Select “View Education Record” from the left hand navigation
panel to determine PE and CE compliance details.
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Select “View Testing Information” from the left hand
navigation panel to see open test enrollment windows and
test results.
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Select “View Criminal Background Check Requests” from
the left hand navigation panel to view pending fingerprint
requests and closed requests.
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Final Notes
1. Monitor your license status until Approval is confirmed.
2. Keep your record up to date. Amendments to your record require a new filing to your form.
3. Additional Quick Guides can be found on the NMLS Resource Center.
4. For additional assistance, contact the NMLS Call Center at 1-855-NMLS-123 (1-855-665-7123).