The certificate of assumed name is the Kentucky Secretary of State's Form ASN, filed with the Division of Business Filings by a domestic or foreign business entity that wants to do business under a name other than its real name. Each certificate covers one assumed name and is filed under KRS 365. On FillingPDF you can fill out the form online and download or print the completed PDF; the Secretary of State publishes the original form and receives the filing through its own channels.
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What is ASN?
The Certificate of Assumed Name (Form ASN) is the Kentucky Secretary of State form that a domestic or foreign business entity files to apply to assume a name, under the provisions of KRS 365, and to state that name on the public record.
The form asks for the assumed name, the name of the entity adopting it (and the partners, for a general partnership), the type of entity, the state or country where it is organized and a mailing address. A declaration under penalty of perjury under the laws of Kentucky closes the form.
The instructions printed with the form add the main rules. The assumed name must be distinguishable upon the records of the Secretary of State from any other name filed and on record. A separate certificate is needed for each assumed name. A registration lasts five years from the date it is filed and can be renewed for a successive term. The document is effective on the date and time of filing.
The instructions also define the "real name" for each entity type, for example the name in the Articles of Incorporation for a domestic corporation or in the Articles of Organization for a domestic limited liability company.
Related Secretary of State forms named by the agency are the Amended Certificate of Assumed Name (AAN), the Certificate of Withdrawal of Assumed Name (CWA) and the Renewal of Assumed Name (RAN). Form ASN is not the filing for an individual sole proprietorship: that certificate goes to the county clerk.
Who needs to file ASN?
Form ASN is for a business entity, domestic or foreign, that will conduct or transact business under an assumed name. The form lists the entity types that can check Line 3:
- general partnerships, limited liability partnerships and limited partnerships;
- business trusts and statutory trusts;
- corporations and limited liability companies;
- limited cooperative associations;
- unincorporated non-profit associations.
Each of these is offered in a domestic and a foreign version.
Do not use this form if you are an individual operating a sole proprietorship. KRS 365.015(3), cited in the instructions, requires that certificate to be filed with the county clerk where the person is deemed a resident for purposes of KRS Chapter 355.
The entity name you enter must be identical to the name on record with the Secretary of State. The document must be signed by:
- at least one authorized partner of a general partnership or registered limited liability partnership, domestic or foreign;
- a general partner of a limited partnership;
- the trustees of a business trust;
- any person authorized to act for a corporation;
- a member or manager authorized to act for a limited liability company.
When to file ASN
File Form ASN when the entity is ready to start doing business under the assumed name; the instructions set no other trigger. The registration takes effect on the date and time of filing and runs for five years from the date it is filed with the Secretary of State.
To keep the name, file a renewal certificate with the Secretary of State within six months before the expiration date. A renewal certificate renews the assumed name for another five-year term. The Secretary of State is not required to send renewal notices, so the business should set its own reminder. Renewal uses the separate Renewal of Assumed Name (RAN) form, not a new Form ASN.
A certificate of assumed name that was in effect on July 15, 1998 continued for five years and may be renewed by filing a renewal certificate.
Documents you need
- One exact or conformed copy of the completed Form ASN, when filing by mail or in person.
- Payment of the filing fee by check payable to the "Kentucky State Treasurer", sent with the copy when filing by mail or in person.
- A written request affirming the alternate address, only if you want the filed document sent somewhere other than the mailing address; submit it with each document you file.
How to fill out ASN
Write the assumed name
Line 1: enter the assumed name under which the business will be conducted. It must be distinguishable on the Secretary of State's records, and each assumed name needs its own certificate.
Enter the entity's name
Line 2: enter the name of the business entity adopting the assumed name; for a general partnership, also enter the partners. The name must be identical to the name on record with the Secretary of State.
Check the real name type
Line 3: check one box that matches your entity, such as Domestic Corporation or Foreign Limited Liability Company. The instructions define the real name for each type.
State where the business is organized
Line 4: enter the state or country in which the business is organized and existing.
Enter the mailing address
Line 5: enter the street address or post office box number, city, state and ZIP code. The file-stamped postcard is sent to this address.
Confirm the penalty-of-perjury declaration
Read the declaration that the statements are true and correct under the laws of Kentucky before signing. It applies to everything entered on the form.
Sign and complete the signature block
The authorized party signs and enters a printed name, title and date. Signers are limited by entity type, for example a general partner for a limited partnership or a member or manager for a limited liability company.
Review and download the completed PDF
Check that the names match the Secretary of State's records and that only one Line 3 box is marked. Download or print the completed PDF from FillingPDF, then follow the channels under How to submit.
How to submit ASN
You can file Form ASN by mail, in person or electronically with the Kentucky Secretary of State.
- By mail: Office of the Secretary of State, PO Box 718, Frankfort, KY 40602-0718. Send one exact or conformed copy of the certificate with the filing fee.
- In person: 1025 Capital Center Drive, Suite 201, Frankfort, KY 40601. Hours of operation are 8:00 AM-4:30 PM ET.
- Online: the Secretary of State's page at https://www.sos.ky.gov/bus/Forms/Pages/default.aspx says assumed names (DBA) can be filed electronically. By submitting your name electronically you certify you are authorized to file, and a typed name is accepted as your original signature.
A filing fee applies. Checks are payable to the "Kentucky State Treasurer"; call (502) 564-3490 or visit www.sos.ky.gov for the amount.
A file-stamped postcard is sent to the mailing address. To have the document sent to an alternate address, submit a written request with each document you file. To get a copy for the local county clerk's office, print one from the organization search tool at www.sos.ky.gov.
FillingPDF lets you fill out and download the PDF; submission follows the channels above.
Common mistakes to avoid
- Using Form ASN for an individual sole proprietorship; KRS 365.015(3) requires that certificate to be filed with the county clerk.
- Entering an entity name that is not identical to the name on record with the Secretary of State on Line 2.
- Checking none or more than one box on Line 3; the form says you must check one.
- Listing two assumed names on one certificate; a separate certificate must be filed for each name.
- Choosing an assumed name that is not distinguishable on the Secretary of State's records from another filed name.
- Waiting past the renewal window; a renewal certificate must be filed within six months before the expiration date, and no reminder is sent.
- Leaving the signature, printed name, title or date blank, or having someone sign who is not authorized for that entity type.
- Sending the filing without the filing fee, or making the check payable to someone other than the "Kentucky State Treasurer".
Frequently asked questions
What is a certificate of assumed name in Kentucky?
It is the Kentucky Secretary of State's Form ASN, filed by a domestic or foreign business entity that will do business under a name other than its real name. It is filed under KRS 365 and covers one assumed name per certificate.
Does a sole proprietor file Form ASN with the Secretary of State?
No. The instructions cite KRS 365.015(3), which requires the certificate of assumed name for an individual sole proprietorship to be filed with the county clerk where the person is deemed a resident. Form ASN is for business entities.
How long does a Kentucky assumed name registration last?
Five years from the date it is filed with the Secretary of State. To renew, file a renewal certificate within six months before the expiration date; it renews the name for another five-year term. The Secretary of State is not required to send reminders.
Can I register more than one assumed name on one certificate?
No. The instructions say a separate certificate must be filed for each assumed name the business adopts. Each name must also be distinguishable on the Secretary of State's records from any other name on file.
Can I file the certificate of assumed name online?
The Secretary of State's page says assumed names (DBA) can be filed electronically, and a typed name is accepted as your original signature. You can also mail or deliver the form to the office in Frankfort. FillingPDF only helps you complete the PDF.
Who can sign Form ASN?
It depends on the entity: an authorized partner for a general partnership or registered limited liability partnership, a general partner for a limited partnership, the trustees for a business trust, any authorized person for a corporation, or an authorized member or manager for a limited liability company.
Where do I mail Form ASN?
Office of the Secretary of State, PO Box 718, Frankfort, KY 40602-0718, with one exact or conformed copy and the filing fee. Checks are payable to the "Kentucky State Treasurer". For in-person filing, the office is at 1025 Capital Center Drive, Suite 201, Frankfort, KY 40601.
Can I fill out Form ASN online on FillingPDF?
Yes. You can fill out the PDF online on FillingPDF and download or print it. FillingPDF is an independent service, not the Kentucky Secretary of State, and it does not file the certificate; you submit it through the agency's channels.
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