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Using or Adding a New "Doing Business As" (D/B/A) or Assumed Name

COVER LETTER:

Provide a COVER LETTER (on company letterhead), containing the following information:

  1. The proposed D/B/A or assumed name.
  2. A statement regarding the ownership structure of the D/B/A or assumed name (i.e. owned by requesting entity or individual, affiliate relationship, joint venture, partnership, separately incorporated entity).
  3. Whether the D/B/A is similar to names currently utilized by other mortgage companies, an already existing corporate entity, an internet domain name, etc.
  4. If the D/B/A is established pursuant to a joint venture, affiliate relationship, Delaware Series LLC or co-brokering agreements, please provide the names of the principal owners of the D/B/A or assumed name, if different from that of the requesting entity or individual.
  5. Please note, we do not license or register on a branch location basis. All approved D/B/A or assumed names are assigned on a licensed or registered entity basis.
  6. Cover letter must be signed by an owner and/or authorized principal officer of the company.

APPROVAL TO USE CERTAIN WORDS IN BUSINESS TITLES:

For Corporations, Limited Liability Companies and Limited Partnerships, if the proposed d/b/a or assumed name includes a restricted word, submit evidence of approval by the Superintendent of Financial Services to use such word.

ORIGINAL LICENSE OR CERTIFICATE:

You must return your original license or certificate.

If you have lost or misplaced the original license or certificate, you are required to complete and submit a Lost License/Certificate Affidavit (“LLCA”).

Please Note – if you have branch offices in addition to your principal office, you must also submit ALL original licenses/certificates for those branch offices. This will allow us to update and reissue the licenses or certificates with the new or additional D/B/A or assumed name. You are required to submit an LLCA for all lost or misplaced original licenses or certificates.

ENTITY SPECIFIC DOCUMENTS:

Corporations, Limited Liability Companies and Limited Partnerships

  1. Filing receipt from the Secretary of State evidencing approval of the assumed name.
  2. Recorded or certified copy of the Certificate of Assumed Name filed with the Secretary of State.

Sole Proprietorships and General Partnerships

  1. Approved Doing Business As Certificate (D/B/A) from the appropriate county clerk’s office. The certificate must have the county clerk’s receipt affixed to the document.

Note: If you intend to conduct business in multiple counties, please provide an approved certificate from each county in which you intend to conduct business.

DISCONTINUANCE OF D/B/A OR ASSUMED NAME
  1. Submit a cover letter on company letterhead, signed by an owner and/or authorized principal officer of the company, requesting discontinuance of the D/B/A or assumed name.
  2. You must return the original license or certificate. If you have lost or misplaced the original license or certificate, you are required to complete and submit a Lost License/Certificate Affidavit (“LLCA”). Please Note – if you have branch offices in addition to your principal office, you must also submit ALL original licenses/certificates for the branch offices. This will allow us to update and reissue the licenses or certificates with the removal of the D/B/A or assumed name. You are required to submit a LLCA for all lost or misplaced original licenses or certificates.
  3. Entities that originally filed with the Secretary of State must provide a recorded or certified copy of the certificate of discontinuance of assumed name from the Secretary of State. Sole Proprietorships and General Partnerships should provide a copy of the recorded or certified certificate of discontinuance filed with the respective county clerk’s office. Note: You must provide a certificate of discontinuance for each county in which you wish to discontinue use of the D/B/A or assumed name.

Please Note: The Department of Financial Services can deny the use of a d/b/a or assumed name, if it determines that the use of the d/b/a or assumed name would result in consumer confusion. Additionally, we reserve the right to limit the number of d/b/a or assumed names granted to licensees and registrants.

FAILURE TO INCLUDE THE ABOVE LISTED ITEMS WITH YOUR ORIGINAL NOTIFICATION WILL DELAY PROCESSING and INCOMPLETE NOTIFICATIONS WILL BE RETURNED.

Please mail all required documents to:
New York State Department of Financial Services
Attn: Mortgage Banking
One State Street
New York, NY 10004-1511

 

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