New York Department of Financial Services


Please Note

We are a service company that can help you file with the New York Department of Financial Services. We are not associated with this nor any other government agency. We offer paid services and software to help you file. You are not required to purchase our service to file - you may file directly with this agency without using our service.


Contact Information

Physical address:
New York State Department of Financial Services
One State Street
New York, NY 10004

Phone: (800) 342-3736

Web: Home Name search Forms File online
Email: licensing@dfs.ny.gov

Licenses

We track the following licenses with the New York Department of Financial Services in order to provide compliance services to our clients. As a client, you see this and other reference data in License Manager in-line with your licenses.

A laptop placed on a desk with our License Manager software on display

New York Charitable Gift Annuity Registration

Agency:New York Department of Financial Services
Law:

NY ISC § 1110

Organization Age Requirement:

10 years of continuous existence immediately preceeding licensure.

Fact Checked:12/4/17

Initial Registration

Agency Fee:

$0

Notes:

In order to apply for a charitable gift annuity permit, a charity must have tax exempt status and adopt a board resolution pertaining to annuities and naming the segregated trust. The application process includes submitting proof of tax exemption, financial reports showing segregation of assets, and other documents. New York also offers exemptions from the permit requirement for charities whose reserve fund requirement is less than $1,000,000.

Fact Checked:12/4/17

Registration Renewal

Form:

There is no renewal form.

Agency Fee:

$0

Due:

Annually by March 1.

Fact Checked:12/4/17

New York Excess Lines License - Non-Resident

Agency:New York Department of Financial Services
Fact Checked:4/27/21

Initial Registration

Filing Method:

Online

Agency Fee:

$400

Fact Checked:4/29/21

Registration Renewal

Filing Method:

Online

Agency Fee:

$600

Due:

Biennially by October 31.

Fact Checked:4/29/21

New York Excess Lines License - Resident

Agency:New York Department of Financial Services
Fact Checked:4/27/21

Initial Registration

Filing Method:

Online

Agency Fee:

$50

Fact Checked:4/29/21

Registration Renewal

Filing Method:

Online

Agency Fee:

$50

Due:

Biennially by the end of the licensee's birth month.

Fact Checked:4/29/21

New York Excess Lines License - Resident

Agency:New York Department of Financial Services
Fact Checked:4/27/21

Initial Registration

Filing Method:

Online

Agency Fee:

$50

Fact Checked:4/29/21

Registration Renewal

Filing Method:

Online

Agency Fee:

$75

Due:

Biennially by October 31.

Fact Checked:4/29/21

New York Independent Adjuster's (Entity) License

Agency:New York Department of Financial Services
Foreign Qualification is Prerequisite:Yes
Bond Requirements:

$1,000

Fact Checked:8/14/19

Initial Registration

Form:

Entity Form - Original/Relicensing: Application for Independent Adjuster's License

Filing Method:

File by mail.

Agency Fee:

$100 for full licensing period (applications submitted during odd-numbered years); $50 for half licensing period (applications submitted during even-numbered years).

Notes:

Ensure all application materials are clipped or stapled together. DFS may reject application materials as "submitted separately" if pages are not fastened.

Bond Amount:

$1,000

Fact Checked:8/14/19

Registration Renewal

Form:

Entity Form - Original/Relicensing: Application for Independent Adjuster's License

Filing Method:

File by mail.

Agency Fee:

$100

Due:

January 1 of odd-numbered years.

Notes:

Ensure all application materials are clipped or stapled together. DFS may reject application materials as "submitted separately" if pages are not fastened.

Bond Amount:

$1,000

Fact Checked:8/14/19

New York Insurance Agency License

Agency:New York Department of Financial Services
Fact Checked:1/8/16

Initial Registration

This section applies to insurance firms that are applying for a license in New York for the first time.

Agency:New York Department of Financial Services
Form:

http://www.dfs.ny.gov/insurance/faxappi.htm

Agency Fee:

Varies by insurance type. Baseline of $100

Fact Checked:1/8/16

Registration Renewal

This section applies to insurance firms that are already licensed in New York and need to renew their license.

Agency:New York Department of Financial Services
Form:

http://www.dfs.ny.gov/insurance/faxappi.htm

Agency Fee:

Varies by insurance type. Baseline of $100

Due:

Biennially

Fact Checked:1/8/16

New York Insurance Agent License

Agency:New York Department of Financial Services
Fact Checked:12/31/20

Initial Registration

This section applies to insurance agents that are applying for a license in New York for the first time.

Agency Fee:

From $0 to $7,500 depending on license type

Fact Checked:6/1/17

Registration Renewal

Filing Method:

Online

Agency Fee:

Varies based on Retaliatory Fee

Due:

Biennially

Fact Checked:1/5/21

New York Utilization Review Agent Report

Type of Review:

Medical Utilization Review

Agency:New York Department of Financial Services
Law:

New York Stat ISC § 4901

Foreign Qualification is Prerequisite:Yes
Fact Checked:2/22/21

Initial Registration

Form:

UR Agent Report Application and Attestation Form

Agency Fee:

$0

Required Attachments:
  • Set of UR policies and procedures, including UR plan, demonstrating Agent’s ability to carry out the relevant requirements of Insurance Law
  • Certificate of Incorporation in New York State or other documentation that the Agent has been approved by the Secretary of State to do business in New York State
  • Corporate organization chart demonstrating the position of the Agent, subsidiaries, and any parent organizations in the corporate structure (an internal organization chart is not required)
  • List of all insurers and/or municipal cooperative health benefit plans for which the Agent is performing utilization review in New York State and/or anticipated contract date
  • URAC Certificate (if applicable)
  • Template notice letters
  • External Appeal Standard Description and Application
Fact Checked:2/22/21

Registration Renewal

Form:

UR Agent Report Application and Attestation Form (Renewal)

Agency Fee:

$0

Due:

Biennially by the registration anniversary date.

Fact Checked:2/22/21

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