California · for designated brokers

One name that does not reconcile takes the whole office offline.

A free seven-point roster audit. One afternoon, once a quarter, and you find it before someone else does.

Page one of the Quarterly Roster Audit checklist
The whole thing
Page one of one — tap through after you get it
mdash; one page
7points
1page
2Letter + A4

One page, free, no account. I’ll email you when there’s a new guide — nothing else, and you can unsubscribe from any of them.

Compliance is assessed at the office level, through the designated broker. So when one affiliated licensee is unaccounted for — dues unpaid, a classification never declared, a departure never recorded — the exposure does not attach to that licensee. Access is suspended for the firm.

Nobody has to have done anything wrong. A set of facts just quietly stopped being true. This checklist is how you find those facts while they are still cheap.

What’s in it

  • Pull the entire roster — from the state license record, not your internal list
  • Active, referral, MLO / commercial, out-of-state waiver, parked
  • The broker-associate step almost everyone skips
  • One page. Fillable on screen or printable. Letter and A4.
The full 69-point supervision audit covers trust funds, advertising, transaction files, recordkeeping, branch offices and administrative filings. The Designated Broker’s Handbook quotes every rule to its source, with citations you can check.

The 69-point audit  ·  The handbook