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Mortgage Banker, Broker and Servicer: Change of Company Legal Name

Effective March 23, 2009, the Department of Financial Services began accepting applications to amend the legal name of mortgage brokers and mortgage bankers through the Nationwide Mortgage Licensing System (NMLS).  All applicants seeking to change the legal name of a New York regulated Mortgage Broker or Mortgage Banker or Mortgage Servicer must submit an Amendment through the online application process.

Note: Your company must have a unique NMLS identification number, a User ID and Password to access to NMLS in order to submit Amendments through the online system.

General Instructions

Jurisdiction Specific Requirements

Jurisdiction-specific requirements as identified below must be submitted within five business days of the submission of your application through NMLS to the State of Department of Financial Service at the following address:

State of New York Department of Financial Service
One State Street
New York, NY 10004
Attention Mortgage Banking

  1. ORIGINAL REGISTRATION. Submit the principal office registration and all additional authorized branch office registrations.  Note:  If your registration(s) has been lost or misplaced you must submit a notarized Lost License and Certificate Affidavit for each lost registration. 
  1. SECRETARY OF STATE/MUNCIPALITY DOCUMENTATION. Provide the following documentation:

      1. Filing receipt from the Secretary of State evidencing approval of the name change

      2. Recorded or certified copy of the Certificate of Amendment filed with the Secretary of State.

      3. Foreign Corporations must also provide a certified copy of the certificate of amendment from its home state.

      4. General partnerships must provide a certificate evidencing name change from the appropriate county clerk’s office.  Note: The certificate must have the county clerks’ receipt affixed to the document.

  2. SURETY BOND RIDER. Submit a Surety Bond Rider reflecting the change of name.

WHO TO CONTACT:
If you require assistance in using the NMLS database or logging into the system, please contact the NMLS Call Center at (240) 386-4444

For New York State Jurisdiction specific requirements contact the Department via email at Mortgage.Banker@dfs.ny.gov (mortgage banker issues),  Mortgage.Broker@dfs.ny.gov (mortgage broker issues) and MLS@dfs.ny.gov (mortgage loan servicer issues).

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

YOU ARE NOT AUTHORIZED TO ENGAGE IN MORTGAGE ORIGINATION ACTIVITIES UNDER THE NEW NAME UNTIL YOU RECEIVE APPROVAL FROM THE SUPERINTENDENT OF FINANCIAL SERVICES OF THE STATE OF NEW YORK.

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