INSTRUCTIONS FOR THE FILING OF DOCUMENTS NECESSARY TO OBTAIN A CERTIFICATE OF AUTHORITY
The following documents can be accessed by clicking here:
You should choose and complete the forms which are appropriate for your needs. Feel free to make as many copies of the forms as necessary. All blanks should be filled in with the appropriate information.
When you submit your application, please make sure to check the appropriate boxes on the Cover Page so that we can expedite the review.
Please note that we will be unable to review your application submission until such time as all documents have been filed and have been completed in their entirety.
Application fees should be sent along with the application. All applications, related documentation, and payments should be mailed to:
Alabama Board of Funeral Services 4276 Lomac Street Montgomery, AL 36106
The financial information requested in the application for the certificate of authority should be filled in completely. If there is no asset or liability amount for any category, place a “0” on the blank line.
No person may obtain a certificate of authority for the preneed sale of funeral services unless the person or its agent, in the case of a corporate entity, holds a license as a funeral director or a funeral establishment.
Each person selling preneed funeral merchandise and services and/or cemetery merchandise and services for the certificate of authority holder must be registered as a preneed sales agent. Instructions and the form for agent registrations are found on the website under the link “Preneed Sales Agents.” Please note that each preneed entity must have at least one preneed sales agent registered.
BACKGROUND CHECKS
Any application to the Board for a license, certificate, or registration made on behalf of a sole proprietorship, firm, corporation, partnership, joint venture, or limited liability company for a certificate of authority to sell preneed contracts shall be sworn to by each:
- Owner, partner, member, shareholder, and/or other principal of such entity controlling a 10% or greater interest in the entity; and
- Any other individual(s) or officer(s) as may be needed to legally bind the entity.
A background check fee of $38.25 is required with each application.
If you use the sample contracts and/or trust forms provided by the Board without any modification or amendment whatsoever, the forms will be approved promptly. The sample contracts are not a substitute for the advice of an attorney. The Board of Funeral Services cannot provide legal advice nor make any representation that the samples are guaranteed to be correct, complete, or up-to-date. The Board of Funeral Services is not responsible for any loss, injury, claim, liability, or damage related to your use of any samples it provides.
If the forms provided are modified or amended in any way, the approval process may take longer.
The list of merchandise and services in the contracts should be regarded as variable. The Board of Funeral Services recognizes that not everyone offers the same merchandise and services. You may tailor the list of merchandise and services to fit what you offer in the way of merchandise and services. However, any other deviations from the forms provided will result in a delay in the approval process for your forms.
The applications provided may not be modified or amended in any way whatsoever and none of the information requested should be considered variable. If the applications provided are modified or amended in any way, they will be returned without being approved.
If you plan to participate in an association trust, you do not need to file the association trust document since the association will be expected to file that trust agreement for approval. You will need to file a participation agreement showing that you have joined that particular association.
Please submit a cover letter stating whether the forms provided by the Alabama Board of Funeral Services are being used without any modifications and/or amendments (other than the list of merchandise and services); whether the forms provided by the Alabama Board of Funeral Services are modified and/or amended, and, if amended, provide a complete list or statement of those provisions that have been modified and/or amended, and how those provisions have been modified and/or amended. If the forms have been used without any modification and/or amendments, include in the cover letter a certification stating that fact.
The cover letter should also state the method of funding you plan to use for preneed funds collected. The methods of funding allowed by law are: life insurance, trusts, bonds, and letters of credit. If life insurance is used, please indicate the name of the insurance company.
The applicant must file a full and true statement of the financial condition of the funeral establishment, cemetery authority or third-party seller. This statement must be as of the last fiscal year ending prior to the date of the application. Under Rule 482-3-003-.10, the financial statement may be prepared on a generally accepted accounting principles basis or be prepared on the form of financial statement using the basis of accounting prescribed by that Rule.
If you plan to assert that your preneed trust fund on preneed contracts entered into prior to May 1, 2002, complies with Title 34, Chapter 13, please contact the Alabama Board of Funeral Services for further instructions.
New Certificate of Authority
New Certificate of Authority Application