Section R4-28-301. General License Requirements; Non-resident License

A.      An applicant for any Department-issued license or license renewal including, if an entity, any officer, director, member, manager, partner, owner,  trust beneficiary holding  10% or more beneficial interest, stockholder owning 10% or more stock, or other person exercising control of the entity, shall submit the following information to the Department:

1.        A signed original licensure or renewal questionnaire, as applicable, disclosing any:

a.         Conviction for a misdemeanor or felony, or deferral of a judgment or sentencing for a misdemeanor or felony;

b.        Order, judgment, or adverse decision entered against the applicant involving fraud or dishonesty, or involving the conduct of any business or transaction in real estate, cemetery property, time-share inter- vals, membership camping contracts, or camp- grounds;

c.         Restriction, suspension, or revocation of a profes- sional or occupational license, or registration cur- rently or previously held by the applicant in any state, district, or possession of the United States or under authority of any federal or state agency; any civil penalty imposed under the license, or any denial of a license; or

d.        Order, judgment, or decree permanently or tempo- rarily enjoining the applicant from engaging in or continuing any conduct or practice in connection with the sale or purchase of real estate or cemetery property, time-share intervals, membership camping contracts, campgrounds, securities, or involving consumer fraud or violation of the racketeering laws by the applicant, or payment from a recovery fund or

fund of last resort due to the applicant’s action or inaction.

2.        If the applicant discloses information under subsection (A)(1), the applicant shall provide all of the following written documentation:

a.         A signed written statement describing in detail the circumstances surrounding the matter disclosed;

b.        A certified copy of any police report and court record that pertains to each crime for which the applicant has been convicted or for which sentenc- ing or judgment has been deferred. If the applicant is unable to provide documents for each crime, the applicant shall provide written documentation from the court or agency having jurisdiction, stating the reason the records are unavailable.

c.         Three written and dated references from individuals, 18 years or older and not related by blood or mar- riage to the applicant, who have known the applicant for at least one year before the date of the Depart- ment’s receipt of the  application. Each  reference shall be dated no more than one year from the date the application is submitted to the Department and include the writer’s name, address, and telephone number;

d.        A 10-year work history, stating each employer’s name and address, supervisor’s name and telephone number, position held, and dates of employment, specifying any periods of unemployment;

e.         A certified copy of all documents pertaining to every reprimand, censure or sanction, order assessing a civil penalty, or denying, suspending, restricting, or revoking any professional or occupational license currently held or held by the applicant within the last 10 years;

f.         A certified copy of any civil judgment awarded by a court of competent jurisdiction against the applicant that included findings of fraud or dishonest dealings by the applicant;

g.        A certified copy of any document evidencing a pay- ment of a judgment on behalf of the applicant by any recovery fund administered by any state or profes- sional or occupational licensing board, or repayment by the applicant as a judgment debtor to any recov- ery fund administered by any state or professional or occupational licensing board. If an Arizona real estate or subdivision recovery fund matter, a written disclosure of the file number, approximate date, and approximate amount of payment and current repay- ment status satisfies this requirement.

h.        A certified copy of any temporary or permanent order of injunction entered against the applicant;

i.         Any other documentation that the applicant believes supports the applicant’s qualifications for licensure.

3.        A full set of fingerprints as prescribed in A.R.S. § 32- 2108.01;

4.        The appropriate license application and fee; and

5.        Social security number, if the applicant is an individual.

B.       In addition to the information required in subsection (A), an applicant for a salesperson’s or broker’s license shall provide information showing the person meet the qualifications listed in A.R.S. § 32-2124, A.A.C. R4-28-401, and R4-28-403. If disclosing censure, sanction, disciplinary action, or other order against any professional or occupational license currently or previously held by the applicant, the applicant shall submit a certified license history from each state in which the applicant holds, or has held, a professional or occupational license within the five years before the application.

C.      The Department shall not issue a broker’s license to any per- son who holds an active salesperson’s license in this state. An active-status salesperson applying for broker’s license may simultaneously submit a severance signed by the designated broker on behalf of the salesperson’s employing broker under R4-28-303(E)(10) or may request to be administratively sev- ered under R4-28-303(G).

D.      The Department shall issue to a qualified person a license bearing the legal name of the licensee and any additional nick- name, corporate, or dba name that the Commissioner finds is not detrimental to the public interest. A professional corpora- tion or professional limited liability company licensed under

A.R.S. § 32-2125(B) shall not adopt a dba name.

E.       Every salesperson and broker holding a current license shall file with the Commissioner both the address of the salesper- son’s or broker’s principal place of business, if any, and a cur- rent residence address.

F.       Each salesperson, broker, school owner, director, administra- tor, and instructor shall, within 10 days of each occurrence, notify the Commissioner in writing of any change in informa- tion provided under subsection (A)(1)(a) through (d) and pro- vide documentation listed in subsection (A)(2).

G.      A licensee shall, within 14 calendar days or a later date deter- mined by the Department, respond to a request from the Com- missioner or the Commissioner’s representative for any documents, electronic files, written statements, or other infor- mation required as a part of a complaint investigation, regard- less of whether the licensee is named in the complaint.

Historical Note

Adopted effective May 1, 1980 (Supp. 80-3). Amended

effective March 13, 1981 (Supp. 81-2). Amended effec-

tive August 1, 1986 (Supp. 86-4). Former Section R4-28- 05 renumbered without change as Section R4-28-301 (Supp. 87-1). Amended subsection (C) effective May 3, 1988 (Supp. 88-2). Amended subsection (J) effective February 28, 1989 (Supp. 89-1). Amended effective Feb-

ruary 28, 1995 (Supp. 95-1). Amended by final rulemak-

ing at 5 A.A.R. 650, effective February 3, 1999 (Supp.

99-1). Amended by final rulemaking at 6 A.A.R. 1886,

effective May 2, 2000 (Supp. 00-2). Amended by final

rulemaking at 11 A.A.R. 506, effective March 5, 2005

(Supp. 05-1).