(a) A licensee shall initially, and annually thereafter, file with the bureau a statement under penalty of perjury containing the following:
(1) Her or his business address, telephone number, and facsimile number.
(2) Whether or not he or she has been removed as a conservator, guardian, trustee, or personal representative for cause. The licensee may file an additional statement of the issues and facts pertaining to the case.
(3) The case names, court locations, and case numbers for all matters where the licensee has been appointed by the court.
(4) Whether he or she has been found by a court to have breached a fiduciary duty.
(5) Whether he or she has resigned or settled a matter in which a complaint has been filed, along with the case number and a statement of the issues and facts pertaining to the allegations.
(6) Any licenses or professional certificates held by the licensee.
(7) Any ownership or beneficial interests in any businesses or other enterprises held by the licensee or by a family member that receives or has received payments from a client of the licensee.
(8) Whether the licensee has filed for bankruptcy or held a controlling financial interest in a business that filed for bankruptcy in the last ten years.
(9) The name of any persons or entities that have an interest in the licensee’s professional fiduciary business.
(10) Whether the licensee has been convicted of a crime.
(b) The statement by the licensee required by this section may be filed electronically with the bureau, in a form approved by the bureau. However, any additional statement filed under paragraph (2) of subdivision (a) shall be filed in writing.
(Amended by Stats. 2009, Ch. 308, Sec. 84. (SB 819) Effective January 1, 2010.)
Last modified: October 25, 2018