Establishing secure connection…Loading editor…Preparing document…

New York Certificate of Doing Business Under Assumed Name

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

Certificate of Doing Business Under Assumed Name (“D/B/A”)

Ulster County Clerk’s Office, 244 Fair Street, Kingston, NY 12401 (845)-340-3288

Nina Postupack, Ulster County Clerk – www.co.ulster.ny.us.gov

PURSUANT TO SECTION 130 OF THE GENERAL BUSINESS LAW OF NEW YORK STATE

1. I certify that my name is (print name)

2. I live at

3. I intend to do business in ULSTER COUNTY at the following address:

in (city, town, village) , New York, (zip)

4. I will do business under the name

5. I further certify that I am the successor in interest to the following person, who formerly used this name or names to conduct transact business (person’s name)

My Signature:

Date:

*Print or type name under signature

*If under 21 years of age, state “I am years of age”

STATE OF NEW YORK )
COUNTY OF ) SS:

On this day of , 20 , before me, the undersigned personally appeared

personally known to me or proved to me on the basis of satisfactory evidence to be the individual whose name is subscribed to the within instrument and acknowledged to me that he/she executed the same in his/her capacity and that by his/her signature on the instrument, the individual, or the person upon behalf of the which the individual acted, executed the instrument.

Instructions:

Use this form for a DBA by an INDIVIDUAL. Complete the form BUT DO NOT SIGN IT until you are in the presence of a Notary Public. My staff are Notaries and can witness your signature at no charge if you wish. Bring the form to the Ulster County Clerk’s Office at 244 Fair St. in Kingston together with $25.00 cash or money order payable to “Ulster County Clerk’s Office. A certified copy may be obtained at the cost of $5.00 per copy. Our office hours are 9:00AM to 4:45PM Monday through Friday except holidays. There are other forms for Partnerships filing DBA’s as well as amendment and termination forms. The Partnership form is available in our office for a fee of $1.00. The amendment and terminations forms must be purchased at a legal supply store. Legal questions should be addressed to an attorney. We appreciate your business! Nina Postupack, Ulster County Clerk

Enter text✕
Prepare your document for signing right on this page
  • 01 Edit the text and complete the fields
  • 02 Click Sign Now and on the next screen add recipients and signature fields in SignNow
  • 03 Start your free trial to sign and send your doc
Sign Now

What the New York Certificate of Doing Business Under Assumed Name Is

A New York Certificate of Doing Business Under Assumed Name (commonly called a DBA) documents a trade name used by a sole proprietor, partnership, or business entity that differs from its legal name. Filing gives public notice of the connection between the trade name and the business owners, supports banking and contracting under the trade name, and helps meet local licensing prerequisites. Depending on entity type and location, filings are made with the county clerk where the business operates or with the New York Department of State. Electronic records and signatures may be accepted consistent with state filing rules and federal electronic signature law.

Why Register an Assumed Name in New York

Filing a Certificate of Doing Business Under Assumed Name creates public notice, facilitates opening bank accounts, and reduces disputes over trade name use while meeting local licensing and permit requirements.

Why Register an Assumed Name in New York

Who Typically Files an Assumed Name Certificate

Typical filers include sole proprietors, general partnerships, LLCs using a trade name, and branches operating under a DBA.

  • Sole proprietors using a trade name different from the owner's legal name and seeking bank accounts under that name.
  • General partnerships and joint ventures registering a public business name to transact and enter contracts as a unit.
  • Corporations, LLCs, or out-of-state entities registering a DBA or local branch name to do business in New York.

Confirm the correct filing office for your entity type and county before you prepare or submit the certificate.

Practical Examples of When Businesses Use an Assumed Name

These short examples show common, practical reasons businesses file an assumed name certificate and how it supports day-to-day operations.

Martin Properties

Martin Properties used an assumed name certificate to list and manage rental units under a business name rather than the founder's personal name.

  • Filed with the relevant county clerk to enable banking and rent deposits.
  • Having a filed certificate simplified opening business bank accounts, posting property listings, and collecting rent under the property management trade name without exposing the owner's personal name on public materials.

Fertility Centers of Illinois

A healthcare practice registered a DBA to use a branded clinic name across multiple sites.

  • Provided filed certificates to banks and insurers for account and billing setup.
  • The recorded assumed name supported credentialing and allowed consistent billing and appointment notices while preserving clarity between the corporate entity and the clinic brand.

Step-by-Step: Complete and File the Certificate

A concise sequential checklist describes the typical actions to prepare, sign, and file a New York assumed name certificate.

  • 01
    Gather Information: Collect assumed name, legal owner name(s), business address, and effective date.
  • 02
    Complete Form: Enter required fields accurately and avoid abbreviating state names.
  • 03
    Sign: Owner or authorized officer signs and dates the certificate.
  • 04
    File: Submit to the county clerk or Department of State as required and retain filed copies.

Online Workflow Settings for Efficient Filing

Recommended online form settings reduce manual data entry, apply validation, and capture required audit details for filings.

Form Field Configuration
Owner Name Required; enable auto-fill from contact records.
Assumed Name Required; enable duplicate-name warning or validation.
Effective Date Use date picker MM/DD/YYYY; allow future effective dates.
Signature Require signer authentication and capture a time-stamped audit trail.

How the Filing and Distribution Flow Works

This simple flow shows document preparation, signature capture, any notarization steps, and final filing with the appropriate office.

  • Prepare: Complete the certificate fields accurately and save a draft.
  • Sign: Owner or authorized officer signs electronically or by hand.
  • Notarize: Obtain notarization if the county requires it; RON may be an option.
  • File: Submit the filed certificate to the county clerk or Department of State and retain a certified copy.

Technical Requirements for eFiling and eSignature

To submit and share the completed certificate electronically, use platforms that support PDF and Word formats, secure eSignature, and audit trails.

  • File Formats: PDF and Word DOCX formats supported for submissions.
  • Integrations: Integrates with Salesforce, Google Workspace, and NetSuite for record sync.
  • Authentication: Email, SMS codes, and advanced signer authentication available.

Timelines and Processing Expectations

Key deadlines and processing expectations for filing, effectiveness, and downstream tasks associated with the assumed name certificate.

When to File:

File before publicly using the trade name to ensure legal notice and banking acceptance.

Effective Date:

The filing date is typically effective unless you specify a later date on the form.

Processing Time:

County processing times vary widely, from same day to several weeks depending on method.

Renewal or Continuation:

Some counties require renewals or re-filing; check local clerk requirements.

Provide to Banks:

Provide a filed copy to banks and licensing agencies when requested for accounts or permits.

Milestone Sequence from Preparation to Active Use

A numbered milestone sequence clarifies what occurs before filing and the steps that follow once the certificate is recorded.

01

Preparation

Assemble owner names, addresses, and the proposed trade name for the form.

02

Filing

Submit the completed certificate to the appropriate county clerk or the Department of State.

03

Publication/Recording

Complete any county publication or recording requirements where applicable.

04

Operational Use

Use the filed certificate to open bank accounts and obtain local licenses under the trade name.

Common Preparation Errors to Avoid

  • Using inconsistent owner names (initials or nicknames) that differ from legal documents, causing bank and licensing rejections and processing delays.
  • Filing with the wrong county or office when the business operates in a different jurisdiction, which can invalidate the local notice effect.
  • Omitting required signatures, dates, or corporate officer titles, resulting in rejected filings or requests for corrections.
  • Overlooking county publication or renewal requirements where applicable, which can lead to noncompliance and enforcement issues.

Potential Risks and Consequences of Improper Filing

Name Dispute: Other parties may challenge the trade name use.
Banking Problems: Banks may refuse to open DBA accounts.
Contractual Issues: Difficulty enforcing contracts signed under the assumed name.
Licensing Denial: Local permits or licenses may be withheld.
Fines: Penalties, if any, vary by county and statute.
Identity Risk: Public records disclose owner names and addresses.

Security and Compliance Considerations for Electronic Filings

Encryption: TLS 1.2/1.3 in transit, AES-256 at rest.
SOC 2: SOC 2 Type II report available on request.
HIPAA: BAA required when handling protected health information.
ESIGN/UETA: Electronic signatures are legally recognized and acceptable.
ISO 27001: Information security management certification available.
21 CFR Part 11: Controls for FDA-regulated records are supported where needed.

eSignature Pricing and Feature Comparison Relevant to Assumed Name Filing

A concise vendor comparison showing starting prices and key features to consider for signing and distributing the New York assumed name certificate.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial 7-day free trial Varies by vendor Varies by vendor Varies by vendor Varies by vendor
Bulk Send Yes (Business Premium) Varies Varies Varies Varies
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No
Envelope Cap No cap 100 envelopes/user/year Varies Varies Varies

FAQs and Troubleshooting for Assumed Name Filings in New York

Answers to common questions about where to file, electronic signatures, notarization, corrections, and cancellation for an assumed name certificate.


Need help? Contact support

Explore Templates

Application for Reinstatement South Dakota Deed Forms Statement of Contract Petition for Modification Form South Dakota Quit Claim Deed Sworn Statement of Account
be ready to get more
Join over 28 million airSlate SignNow users
Sign Now
Company
Forms
Pricing
Resources
Knowledge base
Other Products
© 2026 airSlate Inc. All rights reserved.