ADRE Model Broker Policy Manual-Assistants and Teams

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Assistants and Teams

This section should include:

  • The Broker’s policy concerning Personal Assistants, permissible and prohibited 1428644_81312431-1024x1024activities, compensation, equipment/office space, withholding tax, worker’s compensation insurance, Company liability.
  • If used, team names must identify in a clear and prominent manner the employing broker’s legal name or the dba name contained on the employing broker’s license certificate and cannot give the appearance of a real estate company. To avoid confusion team names should include the word “team” and not include words such as Company, Group or Associates. Team names should not be registered as legal business entities with the Arizona Corporation Commission. It is the Broker’s responsibility to approve team names and advertisements, and ensure compliance with A.A.C. R4-28-502.
Quick Quiz

Fill in the Blank:
Team should not be registered as legal business entities with the Arizona Corporation .

Arizona Department of Real Estate SUBSTANTIVE POLICY STATEMENT No. 2005.04

Short Title: Unlicensed Assistants

This substantive policy statement is advisory only. A substantive policy statement does not include internal procedural documents that only affect the internal procedures of the agency and does not impose additional requirements or penalties on regulated parties or include confidential information or rules made per the Arizona Administrative Procedure Act. If you believe that this substantive policy statement does impose additional requirements or penalties on regulated parties, you may petition the agency under ARS 41-1033 for a review of the statement.

Description of Practice/Procedure: In looking at the issue of unlicensed assistants, various aspects must be considered, including what activities the individual will perform and how the individual is paid.

If an unlicensed assistant is paid on any basis that relies on the ultimate sale of property, then that person must be licensed.

An unlicensed assistant in the employ of a licensed real estate broker may:

  • Perform telephone duties, to include calls to:
    1) collect demographic information.
    2) solicit interest in engaging the services of a licensee or brokerage.
    3) set or confirm appointments (with no other discussion) for:
    • A licensee to list or show the property.
    • A buyer with a loan officer.
    • A property inspector to inspect a home.
    • A repair/maintenance person to perform repairs/maintenance.
    • An appraiser to appraise the property.
    4) mortgage and/or title companies to track the status of a file, check daily
    interest rates and points, whether the buyer has been qualified, confirm closing
    appointment for the licensee, and so forth.
  • Assist a licensee at an open house.
  • Unlock a home for a licensee so that licensee can show a buyer the property or preview the property (no discussion about the property).
  • Deliver documents (as a mail or delivery service only).

An unlicensed assistant shall not perform the following activities:

  • Hold/host an open house without an agent being present.
  • Perform a walk-through inspection.
  • Answer questions relating to a transnational document.
  • Give instructions to inspectors, appraisers or maintenance/repair people. Because these instructions are part of the licensee’s regular duties and there is a direct relationship to the (potential) transaction, a license is required to give instructions to inspectors appraisers or repair/maintenance people.

Authority: A.R.S. § 32-2101(46) defines the activities of a real estate broker, for which licensure is required according to A.R.S. § 32-2122. See also A.R.S. § 32-2121.

Policy Program: Enforcement

Effective Date: Revised April 3, 2000; Revised & Renumbered 5/28/04; Renumbered 4/01/05.


Association Membership

This section should include:.

  • Whether membership in a business or trade association is required or recommended and, if so, which associations or organizations and who is responsible for fees or dues.
  • What requirements the sales associates shall comply with as a member.

Select to view Local Association Executive Officers contact information.

Bullhead City/Mohave Valley                                        Central Arizona       

DouglasGreen Valley/Sahuarita                                  Kingman/Golden Valley         

Lake HavasuNorthern Arizona                                    Phoenix         

Prescott Area Santa Cruz County                                 Scottsdale Area   

Sedona/Verde Valley Southeast Arizona                 South East Valley Regional 

Tucson Western Pinal                                                       West Maricopa County

White Mountain                                                                  Yuma

Broker Signature Requirements

Authorized Signature

This section should include:

  • A description in writing of who is authorized to sign what documents on behalf of the Company.
  • Whether only the Designated Broker, or the Designated Broker’s designee/approved branch manager or someone else is authorized to sign documents.

32-2127. Licenses for additional places of business; branch office manager; broker’s temporary absence

A. When a broker maintains more than one place of business within the state, he shall be required to procure an additional license for each branch office maintained.

B. Branch office licenses shall be issued in the same name as the principal office license is issued, and the license must be posted in the branch office. Branch office signs shall conform to the provisions for the main office and shall include the designation “branch office.”

C. Each branch office shall be under the management of a broker or a licensed salesman.

D. If a designated broker is unable to act within twenty-four hours, he may designate a licensee whom he employs or another designated broker to act on his behalf. The designated broker shall make this designation in writing and shall keep the original designation at his office for one year from its effective date. A copy of this designation must be attached to any hire, server or renewal form submitted to the department which is signed by the designated broker’s designee. This designation shall not exceed thirty days’ duration and may authorize the designee to perform any and all duties the designated broker may legally perform, except that a salesperson shall not be allowed to hire or server licensees. A written designation is required for each temporary absence.

The documents may include:

  • Assignment of Commissions
  • Commission Changes
  • Escrow Changes
  • License Renewal
  • Listing Releases
  • Lockbox Vendor Agreement
  • Mutual Cancellations
  • Sales Associates holding only a salesperson license may not sign escrow instructions or other documents that approve compensation or direct how compensation is to be paid for licensed activity (A.A.C. R4-28-304 (B)(1)(c)and (d), and (B)(2)(a).
Quick Quiz

Fill in the Blank:
A in writing of who is authorized to sign what documents on behalf of the .

R4-28-304. Branch Office; Branch Office Manager

B. Branch office manager. A designated broker may authorize in writing an associate broker or salesperson to act as a branch office manager to perform any of the following duties of the designated broker at the branch office. This designation does not relieve the designated broker from any responsibilities. Upon a change of the branch manager, the designated broker shall submit a new authorization to the Department within ten days of the change and shall retain a copy in the broker’s main office for five years.

1. If the branch manager is an associate broker, the associate broker may, when dealing with branch office transactions:

A. Review and initial contracts,

B. Supervise the activity of salespersons and associate brokers,

C. Hire or sever a salesperson or associate broker,

D. Sign compensation checks,

E. Be a signer on the branch office trust account and property management trust account,

F. Write checks from the broker’s trust accounts, and

G. Be responsible for the handling of all trust account funds administered by the branch manager.

2. If the branch manager is a salesperson, the salesperson may, when dealing with branch office transactions:

A. Perform office management tasks that are not statutory duties of the employing broker, and

B. Be a signer on the broker’s trust account and property management trust account.

Quick Quiz

Fill in the Blank:
Be for the handling of all trust account funds administered by the branch .

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