2004 Florida Code
TITLE XXXIII REGULATION OF TRADE, COMMERCE, INVESTMENTS, AND SOLICITATIONS
Chapter 497 FUNERAL AND CEMETERY SERVICES  
497.439   Preneed sales agents.

1497.439  Preneed sales agents.--

(1)  All individuals who offer preneed contracts to the public, or who execute preneed contracts on behalf of a certificateholder, including all individuals who offer, sell, or sign contracts for the preneed sale of burial rights, shall be registered with the board as preneed sales agents, pursuant to this section, unless such individuals are licensed as funeral directors pursuant to this chapter.

(2)  All preneed sales agents and funeral directors acting as preneed sales agents must be affiliated with the certificateholder that they are representing.

(3)  A certificateholder shall be responsible for the activities of all preneed sales agents and all funeral directors acting as preneed sales agents, who are affiliated with the certificateholder and who perform any type of preneed-related activity on behalf of the certificateholder. In addition to the preneed sales agents and funeral directors acting as preneed sales agents, each certificateholder shall also be subject to discipline if its preneed sales agents or funeral directors acting as preneed sales agents violate any provision of this chapter.

(4)  A preneed sales agent and a funeral director acting as a preneed sales agent shall be authorized to sell, offer, and execute preneed contracts on behalf of all entities owned or operated by its sponsoring certificateholder.

(5)  An individual may begin functioning as a preneed sales agent as soon as a completed application for registration, as set forth in subsection (7), is sent to the department.

(6)  The qualifications for a preneed sales agent are as follows:

(a)  The applicant must be at least 18 years of age.

(b)  The applicant must be in good standing with the board.

(c)  The applicant must not have any felony or misdemeanor convictions that relate to any activity regulated by this chapter.

(7)  An application for registration as a preneed sales agent shall be submitted to the department with an application fee of $100 by the certificateholder in a form that has been prescribed by department rule and approved by the board. Such application shall contain, at a minimum, the following:

(a)  The name, address, social security number, and date of birth of the applicant and such other information as the board may reasonably require of the applicant.

(b)  The name, address, and license number of the sponsoring certificateholder.

(c)  A representation, signed by the applicant, that the applicant meets the requirements set forth in subsection (6).

(d)  A representation, signed by the certificateholder, that the applicant is authorized to offer, sell, and sign preneed contracts on behalf of the certificateholder, and that the certificateholder has trained the applicant in the provisions of this chapter relating to preneed sales as determined by the board, the provisions of the certificateholder's preneed contract, and the nature of the merchandise, services, or burial rights sold by the certificateholder.

(e)  A statement indicating whether the applicant has any type of working relationship with any other certificateholder or insurance company.

(8)  An individual may be registered as a preneed sales agent on behalf of more than one certificateholder, provided that the individual has received the written consent of all such certificateholders.

(9)  A certificateholder who has registered a preneed sales agent shall notify the department within 30 days after such individual's status as a preneed sales agent has been terminated.

(10)  Upon receipt of an application that complies with all of the requirements of subsection (7), the department shall register the applicant. The department shall by rule provide for biennial renewal of registration and a renewal fee of $150.

History.--s. 107, ch. 93-399; s. 13, ch. 2000-195; s. 115, ch. 2004-301.

1Note.--Section 115, ch. 2004-301, renumbered s. 497.439 as s. 497.466 and amended the section, effective October 1, 2005, to read:

497.466  Preneed sales agents, license required; application procedures and criteria; responsibility of preneed licensee.--

(1)  GENERAL PROVISIONS APPLICABLE TO PRENEED SALES AGENTS.--

(a)  All individuals who offer preneed contracts to the public, or who execute preneed contracts on behalf of a preneed licensee, including all individuals who offer, sell, or sign contracts for the preneed sale of burial rights, shall be licensed as preneed sales agents, pursuant to this section, unless such individuals are licensed as funeral directors pursuant to this chapter.

(b)  All preneed sales agents and funeral directors acting as preneed sales agents must be employed by or under written contract with the preneed licensee that they are representing.

(c)  A preneed licensee shall be responsible for the activities of all preneed sales agents and all funeral directors acting as preneed sales agents, who are affiliated with the preneed licensee and who perform any type of preneed-related activity on behalf of the preneed licensee. In addition to the preneed sales agents and funeral directors acting as preneed sales agents, each preneed licensee shall also be subject to discipline if its preneed sales agents or funeral directors acting as preneed sales agents violate any provision of this chapter.

(d)  A preneed sales agent and a funeral director acting as a preneed sales agent shall be authorized to sell, offer, and execute preneed contracts on behalf of all entities owned or operated by its sponsoring preneed licensee.

(e)  An individual may be licensed as a preneed sales agent on behalf of more than one preneed licensee, provided that the individual has received the written consent of all such preneed licensees and makes separate application under this section for each such agency.

(f)  A sponsoring preneed licensee shall notify the department in writing within 30 days after the sponsored preneed sales agent's authority to represent that preneed licensee has terminated.

(2)  APPLICATION PROCEDURES.--

(a)  A person seeking licensure as a preneed sales agent shall apply for such licensure using forms prescribed by rule of the licensing authority.

(b)  The application shall require the name, residence address, residence phone number if any, and date and place of birth of the preneed sales agent applicant. Applicants shall be at least 18 years of age. The application shall require identification of the name, address, and license number of the sponsoring preneed licensee. The application shall require the preneed sales agent applicant's social security number and the federal tax identification number of the sponsoring preneed licensee.

(c)  The application shall require information as to the educational and employment history of the preneed sales agent applicant.

(d)  The application shall require the preneed sales agent applicant to disclose whether the preneed sales agent applicant has ever been convicted or found guilty of, or entered a plea of no contest to, regardless of adjudication, any crime in any jurisdiction.

(e)  The application shall require the preneed sales agent applicant to disclose whether the preneed sales agent applicant has ever had a license or the authority to practice a profession or occupation refused, suspended, fined, denied, or otherwise acted against or disciplined by the licensing authority of any jurisdiction. A licensing authority's acceptance of a relinquishment of licensure, stipulation, consent order, or other settlement, offered in response to or in anticipation of the filing of charges against the license, shall be construed as action against the license.

(f)  The application shall require a representation by the sponsoring preneed licensee, that:

1.  The sponsoring preneed licensee's license is in good standing.

2.  Upon licensure as a preneed sales agent the sponsored preneed sales agent applicant will be authorized to offer, sell, and sign preneed contracts on behalf of the preneed licensee.

3.  The preneed licensee has trained the applicant in the provisions of this chapter relating to preneed sales, the provisions of the preneed licensee's preneed contracts, and the nature of the merchandise, services, or burial rights sold by the preneed licensee.

(g)  The application shall require the preneed sales agent applicant to indicate whether the applicant has any type of working relationship with any other preneed licensee or insurance company, and if yes, to identify such other preneed licensee or insurance company, as the case may be.

(h)  The applicant shall be required to submit her or his fingerprints in accordance with part I of this chapter.

(i)  The application shall be signed by the applicant and by an officer or manager of the sponsoring preneed licensee.

(j)  The application shall be accompanied by a nonrefundable fee of $100. The licensing authority may from time to time increase such fee but not to exceed $200.

(3)  ACTION CONCERNING APPLICATIONS; TEMPORARY AND REGULAR LICENSURE.--

(a)  An applicant shall be deemed to have been issued a temporary preneed sales agent license and may begin functioning as a preneed sales agent, immediately upon receipt by the department of a duly completed application for licensure under this section, if the application shows an applicant of at least 18 years of age who has answered in the negative regarding paragraphs (2)(d) and (e) relating to prior criminal and disciplinary actions, and which application is accompanied by the required application fee. The temporary preneed sales agent license shall be valid for 90 days unless earlier suspended by the licensing authority for cause. If the application is approved by the board within the 90-day period, the temporary license shall be deemed converted to a regular biennial license which shall expire in accordance with the schedule established by the licensing authority by rule.

(b)1.  A person who cannot truthfully answer in the negative regarding paragraphs (2)(d) and (e) relating to prior criminal and disciplinary actions, may apply to the licensing authority for issuance of a preneed sales agent license notwithstanding such criminal or disciplinary record. The licensing authority may by rule specify forms and procedures for use by such persons in applying for preneed sales agent licensure, to be used by such persons in lieu of the forms and procedures specified under paragraph (a). Licensure shall be granted unless the licensing authority reasonably determines that the prior criminal or disciplinary record indicates that the granting of licensure would pose unreasonable risk to the public.

2.  To facilitate issuance of licenses concerning applicants with criminal or disciplinary records which the licensing authority judges to make the applicant borderline as to qualification for licensure, the licensing authority may issue a new license under this section on a probationary basis, subject to conditions specified by the licensing authority on a case-by-case basis, which conditions may impose special monitoring, reporting, and restrictions on operations for up to the first 24 months of licensure, to ensure the preneed sales agent licensee's integrity, trustworthiness, and compliance with this chapter. Provided, no such probationary license shall be issued unless the licensing authority determines that issuance would not pose an unreasonable risk to the public, and the licensing authority must within 24 months after issuance of the license either remove the probationary status or determine that the licensee is not qualified for licensure under this chapter and institute proceedings for revocation of licensure. The licensing authority may adopt rules prescribing criteria and procedures for issuance of such probationary licenses.

(4)  RENEWAL OF LICENSES.--Nontemporary preneed sales agent licenses under this section shall be renewed biennially in accordance with a schedule, forms, and procedures established by rule. The nonrefundable biennial renewal fee shall be as determined by licensing authority rule but not to exceed $200.

(5)  SIMPLIFIED PROCEDURES FOR SUBSEQUENT CHANGE OF SPONSORING LICENSEE.--The board may by rule establish simplified requirements and procedures under which any preneed sales agent, who within the 12 months preceding application under this subsection held in good standing a preneed sales agent license under this section, may obtain a preneed sales agent's license under this section to represent a different sponsoring preneed licensee. The simplified requirements shall dispense with the requirement for submission of fingerprints. The licensing authority may by rule prescribe forms to be used by applicants under this subsection, which forms may dispense with the requirement for any information not deemed by the licensing authority to be necessary to tracking the 2identity of the preneed licensee responsible for the activities of the preneed sales agent. No preneed sales agent licensee whose sales agent license issued by the board was revoked or suspended or otherwise terminated while in other than good standing, shall be eligible to use the simplified requirements and procedures. The issuance of a preneed sales agent license under this subsection shall not operate as a bar to any subsequent disciplinary action relating to grounds arising prior to obtaining the license under this subsection. There shall be a fee payable to the department under such simplified procedures, which fee shall be the same as the fee paid upon initial application for a preneed sales agent license, except that no fingerprint fee shall be required if such fingerprint fee is required for initial applications.

2Note.--The word "identity" was substituted for the word "identify" by the editors.