New York Broker Application Questions

[Rex Qiu]

I mailed my application last week and am now waiting for the results. I have a few questions and would really appreciate it if someone could help answer them. I searched online but couldn't find any answers.

1. What does the process look like and how long does it typically take?
2. How can I confirm if they have received my application package? The delivery message indicates that an agent received the package, but I am still worried it might get lost. Are they going to send an email after it is approved?
3. Should I submit the package in person instead? If so, is it allowed, and which office should I visit?

I apologize for the questions, but the information on the official website is very limited.

Thank you in advance for your help!

[Mohammed Rahman]

Hey @Rex Qiu - firstly, congratulations!! I'm glad you were able to meet the time/points requirement to qualify for the application as well as pass your broker's exam. 

That's the easy part, now the annoying part: 

1. The process is slow, and done entirely via snail mail. It's really annoying. Don't be surprised if they MAIL you a rejection back stating that some parts of the application weren't done properly. For example, during my application they rejected it the first time because they required that all of my points be SEPARATED by all the different brokers I worked under (signed off separately in terms of how many points I earned under which broker) 

2. No emails, all snail mail. You can look up the state's DOL contact info (yes there's a number) but good luck getting someone on a call. Best time to call is early morning as soon as they open... the people that answer the call aren't most helpful btw so expect to call a few times. 

3. Nothing in person as far as I'm aware. They have a mailbox in Albany you mail it to and they process it over a few weeks before mailing you a decision back. 

I had to mail mine in MULTIPLE times because each time they received it, they found YET another thing to reject it for (not signed properly, points not categorized under each broker, business entity not organized properly, etc. etc. ) - imagine how backwards this is when they could just go through the entire application and tell you in one shot all the deficiencies you need to rectify and to mail it back again. 

Anyways, I passed my exam in November 23', submitted my initial application December 23' and went back and forth for almost 3 months. Yup, I know, I hope you have a better time. 

[Rex Qiu]

Wooo. It's crazy. Thanks for the responding and answering.  I believe you did supplement A? I did supplement B for application. I didn't see any signature for supplement B. Do I also need signature? I really appreciate your help. Thanks! 

[Rex Qiu]

Today. I just got approved. It's long time. 

[Mohammed Rahman]

Congrats!!! @Rex Qiu