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Requirements for Change of Name/Trade Name

  1. A written notification on corporate letterhead and signed by an authorized executive officer, indicating the following:
    • Current and proposed names
    • Reason(s) for name change
    • Effective date of the change
    • Please specify if there will be any change in ownership, directors, officers, or business model.
  2. Board of director's resolution approving the name change.
  3. If a corporation, an amended copy of the Articles of Incorporation is required.
  4. If the licensee is incorporated outside of New York, a copy of the Certificate of Authority to do business in the State of New York (under the new name), from the office of the Secretary of State, must also be submitted.
  5. Licensees doing business under a trade name must file a certificate in the Office of the County Clerk where the business is located.  A Certificate from the county clerk evidencing such filing must also be submitted.
  6. In all cases, approval from the State in which the applicant is incorporated in, must be submitted.
  7. In all cases, the original license issued under the current name must be surrendered.  If not objected to, a new license in the proposed name will be issued.
  8. Trade names should be checked against existing licensee lists of Licensed Financial Services of the New York State Department of Financial Services prior to filing with the County Clerk or Secretary of State to avoid rejection of name because of duplication or similarity.  The lists are available on our website by accessing http://www.dfs.ny.gov/about/whowesupervise.htm.
  9. The permission of the Superintendent of Financial Services must be obtained if the new name contains any of the following words:  acceptance, bank, finance, investment, loan, mortgage, savings and trust, or guarantee.   Instructions are available at http://www.dfs.ny.gov/legal/industry_circular/banking/ilnameapro.htm.

Mail the aforementioned documents, in one package, to:
NYS Department of Financial Services
Department of Financial Services
One State Street
New York, NY 10004-1511
Attn:  Licensed Financial Services - Applications

 

 

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