How to Form a New York PLLC

INTRODUCTION

New York requires professional entities to jump through a few extra hoops compared to regular LLCs. A PLLC needs approval from the Office of the Professions (OP) before the Department of State (DOS) will accept your filing. After that, you still need to complete the six-week publication requirement in two county-designated newspapers and file a Certificate of Publication.

The process requires careful attention to detail and coordination between multiple agencies. Small mistakes—a misplaced comma, an inconsistent date, using the wrong form, or filing with the wrong newspaper—can result in rejections that set you back weeks or even months. Each rejection means paying filing fees again, restarting publication runs, and losing valuable time when you should be focused on your practice.

If you are meticulous and willing to invest the time, this guide will walk you through the entire process. Many professionals, however, decide that the time commitment, risk of costly mistakes, and complexity of coordinating between agencies make it more rational to have specialists handle it instead.

SHOULD YOU DO THIS YOURSELF?

You can complete this process yourself if:

• You are highly detail-oriented and comfortable working with government forms.
• You are willing to spend several hours assembling packets, following up with OP and DOS, and coordinating with two newspapers.
• You are prepared to restart parts of the process (and repay fees) if a detail is off.

Most of our clients choose not to DIY for three reasons:

• Their billable time is more valuable than the hours this process demands.
• They cannot afford delays caused by avoidable rejections or missed publication requirements.
• They want a specialist who handles New York PLLCs every day to catch issues before the state does.

If, after reading this guide, you decide you would rather not manage each step yourself, our flat-fee PLLC formation service handles the entire process from OP approval through publication and bank-ready documents.

WHAT YOU'LL NEED BEFORE YOU START

Before diving in, gather the following information and resources:

• The exact legal names of all members/managers as they appear on their NY professional licenses
• License numbers and current status for each professional owner/manager
• The county where your PLLC office will be located (this determines where you will publish)
• A mailing address for service of process (where DOS will forward legal mail)
• At least two compliant name options that end with "PLLC"
• Access to a printer/scanner for documents
• A calendar to track important deadlines (120-day publication window and biennial statement dates)
• Several hours of uninterrupted time to prepare packets and coordinate with newspapers
• Patience for potential back-and-forth with state agencies

NEW YORK PLLC COSTS (STATE FEES, PUBLICATION, PROFESSIONAL HELP)

Exact costs change over time, but you should expect at least the following categories:

• State filing fees:
  • OP entity/Certificate of Authority fees
  • DOS Articles of Organization (Professional Service) fee
  • DOS Certificate of Publication fee
  • Fees for certified copies, if needed
• Publication costs:
  • Two county-designated newspapers (one daily, one weekly)
  • Total can range from a few hundred dollars in some counties to $1,000+ in Manhattan/Bronx
• Professional help (optional):
  • Our flat $885 service includes OP approval, DOS filing, full publication, Certificate of Publication filing, EIN, and bank-ready documents.

Our flat $885 service saves you significant money compared to DIY, especially when you factor in publication costs that can exceed $1,000 in some counties. Beyond the cost savings, you also avoid the risk of re-paying for rejected filings or rerun publication, and the cost of delays to your practice.

HOW LONG DOES IT TAKE TO FORM A NEW YORK PLLC?

Timelines vary based on state workload and whether you pay for expedite, but you should assume:

• OP (Office of the Professions) review:
  • 8-12 weeks for initial review
  • Additional weeks if you receive deficiency letters
• DOS (Department of State) formation:
  • Standard processing can take many weeks or longer
  • One-day DOS formation is included in our $885 service price
• Publication:
  • Six consecutive weeks in two newspapers
  • Additional time to receive affidavits and for DOS to process your Certificate of Publication

End-to-end, a realistic window—from starting your OP packet to having a fully formed, published PLLC with proof—can easily span several months. Any rejection or defect at any stage adds more time.

STEP 1 — CHOOSING YOUR NAME & CONFIRMING ELIGIBILITY

The first step is to pick a name that both OP and DOS will accept, and to make sure everyone involved holds the proper licenses. This seemingly simple step is where many people encounter their first roadblock.

What to do

• Come up with 3–5 name options that end with "PLLC." Make sure they do not include restricted terms your profession does not allow. Different professions have different naming restrictions that are not always clearly documented.
• Check each name in the DOS corporation/LLC database search to see if there are any conflicts. Even similar names can cause issues later, and determining what is "too similar" is not always clear-cut.
• Confirm that every owner and manager holds an active New York license for the specific profession your PLLC will practice. Save screenshots or PDFs of the license lookups because OP may question them later.
• Once you have settled on a name, lock it in—exact spelling, punctuation, spacing, and capitalization. You will be using this name throughout the entire process: OP forms, Articles of Organization, newspaper notice, bank documents, Certificate of Publication, and more. A single inconsistency anywhere in the chain can derail your filing.

What typically goes wrong

• Name does not follow your profession's specific naming rules → OP rejects your application, adding weeks to the process.
• Changing punctuation or spacing later → your publication notice will not match the DOS record, requiring you to restart and pay for publication again.
• Including someone who is not properly licensed as a member/manager → OP holds up your application indefinitely until you fix it.
• Name is too similar to an existing entity → rejection after you have already paid filing fees.

STEP 2 — PREPARING THE OFFICE OF THE PROFESSIONS APPLICATION

Your first major hurdle is getting OP to issue a Certificate of Authority, which authorizes your PLLC to practice your profession. This agency review typically takes 8-12 weeks, and any mistakes in your packet will result in a deficiency letter that adds more time.

How to put together your application packet

Cover Letter (1 page):

• At the top, include your exact PLLC name, profession, and contact information (name, phone, email).
• In the body, state something like: "Enclosed please find our application for a Certificate of Authority to form a [Profession] PLLC. Members/managers and license numbers are listed below."
• Sign and date it.

Entity Application Forms:

• Use OP's forms specifically for professional entities forming new PLLCs (not PCs and not foreign entities). The OP website is not always intuitive, and using the wrong form guarantees problems.
• Enter your exact PLLC name everywhere it appears on the forms. It usually appears multiple times. One variation can trigger rejection.
• List each member and manager with their NY license number and role. If you are setting up a manager-managed structure, state that clearly. Vague language often results in follow-up questions from OP.
• Include a brief description of the professional services you will be providing, using terminology appropriate to your profession. Generic descriptions may not satisfy OP's requirements.

Roster Addendum (create your own):

Prepare a simple table with columns:

• Full Name (as it appears on license)
• License #
• Issue Date
• Status
• Role (Member/Manager)
• Ownership %

Ownership percentages must add up to exactly 100%. Even a 0.1% discrepancy can be flagged.

Double-check everything:

Go through your cover letter, forms, and roster to make sure the PLLC name is identical everywhere. This is tedious but critical—mismatches are one of the most common reasons for rejection.

Assembly:

• Cover letter on top
• OP forms directly behind
• Roster addendum and any profession-specific attachments (consents, good-standing certificates, etc.)

Make a clean PDF scan of the complete packet and save it with a clear filename like OP-PLLC-[YourName]-[Date].pdf. You will need this when OP calls with questions.

Mailing:

• Send your packet using a service with tracking (USPS Priority Mail, certified, etc.).
• Make sure your phone and email appear on the cover letter in case OP needs to reach you. They typically call during business hours.

What typically goes wrong

• Inconsistencies between the name, roster, or license information → OP sends a deficiency letter 2–4 weeks later, restarting the clock.
• Missing signatures or incorrect role designations → packet gets returned weeks after you mailed it.
• No copy retained → when OP calls with questions, you cannot reference what you submitted.
• Using outdated forms → automatic rejection.
• License number or status does not match state records exactly → delays while OP investigates.

At this stage, many professionals stop DIY-ing

This is often where professionals decide the risk of a deficiency letter and weeks of delay is not worth the savings. As part of our $885 service, we prepare and review your entire OP packet, scrub it for inconsistencies, and track it through approval so you are not guessing whether you used the right forms or versions.

STEP 3 — FOLLOWING UP WITH THE OFFICE OF THE PROFESSIONS

After sending your packet, you enter a waiting period with limited visibility. OP does not provide online tracking, so you will need to call for updates.

What to do

• Set a calendar reminder to check status about two weeks after delivery. Have your PLLC name, profession, and mailing date ready when you call. Be prepared for hold times.
• If OP sends you a deficiency letter, respond precisely to what they are asking for. Reference their letter date in your reply. Deficiency responses that include extra information or changes beyond what was requested can create new issues.
• When OP issues your Certificate of Authority (a sealed document), make at least two scans: one for your records and one for your DOS filing packet. Keep the original in pristine condition—any damage to the seal can cause problems later.

What typically goes wrong

• Vague or incomplete responses to deficiency letters → OP sends a second deficiency request, adding another 2–4 weeks.
• Changing the PLLC name mid-process → you have to restart the entire OP approval process.
• Missing OP's phone calls → delays while they try to reach you again.
• Not following up proactively → your packet sits for weeks before you realize there is an issue.

STEP 4 — PREPARING YOUR ARTICLES OF ORGANIZATION

Next, you prepare the paperwork for DOS. You will be filing "Articles of Organization (Professional Service)," not the standard LLC form. Using the wrong form is one of the most common and frustrating mistakes—it results in automatic rejection after weeks of processing time.

What to include

• Entity name: Use the exact same name you used with OP. Any variation will cause problems.
• Professional service: Specify your actual profession (e.g., "law," "engineering," "psychology"), not just "any lawful purpose." Generic language will be rejected.
• County location: Enter the county where your PLLC office is located. This determines where you will publish later. Changing it later is complex.
• Service of process: Designate the Secretary of State as your agent and provide the mailing address where legal documents should be forwarded. This address must match what you will use in your publication notice, or you will have to redo publication.
• Management structure: Indicate whether you are member-managed or manager-managed. This should match what you told OP.
• Organizer information: Include the name and signature of the organizer (often a member or authorized person).
• Attachments: Include your OP Certificate of Authority (or attorney equivalent, if applicable). Forgetting this attachment is a classic reason for DOS rejection.

How to assemble the packet

1. Cover letter to DOS (include your name, contact information, and any expedite request).
2. Articles of Organization (Professional Service).
3. OP Certificate of Authority (or attorney certificate).
4. Payment form (check or credit card authorization).

What typically goes wrong

• Using the standard LLC form instead of the Professional Service version → automatic rejection.
• Forgetting to attach the OP Certificate of Authority → rejection and re-filing.
• Service of process address does not match what you use in your publication notice → publication rejection months later.
• County does not match your OP application → questions from both agencies.
• Payment form filled out incorrectly → filing sits in limbo until corrected.

STEP 5 — FILING WITH THE DEPARTMENT OF STATE

With your packet assembled, you file with DOS and decide whether to pay for expedited processing.

What to do

• Mail your packet using a trackable service.
• Strongly consider paying for expedited processing. Standard processing can stretch for many months, during which you cannot officially operate your PLLC.
• When you receive your filing receipt, scan it immediately and save it. Keep it with your core documents. The filing receipt is often the only official proof of your PLLC's existence—DOS does not issue a decorative certificate.

What typically goes wrong

• Losing the filing receipt—DOS will not simply re-issue it, and you will have problems opening bank accounts or proving your entity exists.
• Assuming approval means you are done—you still must complete publication within 120 days.
• Not noticing a rejection for weeks because you were not tracking the mail.
• Filing receipt arrives with an error—correcting it requires more time and correspondence.

STEP 6 — COMPLETING THE PUBLICATION REQUIREMENT (6-WEEK NEWSPAPER RULE)

This is the most complex, time-consuming, and expensive part of the process. You must publish a notice for six consecutive weeks in two county-designated newspapers (one weekly and one daily) and file proof with DOS. You have only 120 days from your filing date to complete this step. Miss this deadline, and your PLLC's authority to do business will be suspended until you cure the publication—meaning another full six-week run.

Finding the designated newspapers

• Each county has its own list of approved newspapers for LLC/PLLC publication. You cannot pick just any paper—it must be designated by your county, and these lists change.
• County clerk offices do not always maintain updated lists online. You may need multiple calls to confirm which papers are currently designated.

Drafting your notice

Your publication notice must match your DOS record exactly. A single character difference can result in rejection of your Certificate of Publication months later, forcing you to restart the six-week run and pay both newspapers again.

A common structure:

NOTICE OF FORMATION of [Exact PLLC Name]. Articles of Organization filed with
NY Dept. of State on [Formation Date]. Office location: [County]. Secretary of
State designated as agent for service of process; shall mail to [Mailing Address].
Purpose: Practice of [Profession] and any lawful activities authorized for a PLLC.

Verify that your name, date, county, mailing address, and profession are all exactly correct. Do not rely on memory—compare character-by-character against your DOS filing receipt.

Contacting the newspapers

• Email both newspapers with a subject like "Legal Notice — PLLC Formation — [Your PLLC Name]."
• Include your notice text, contact information, and request a quote, proposed run dates, and a proof for approval.
• Expect slow responses. Many designated papers are not optimized for rapid correspondence; follow-up is often required.
• When you receive the proof, compare every character to your DOS filing receipt before approving. If publication starts with an error, you pay to restart the entire six-week run.

Running the notice

• The notice must run for six consecutive weeks in both papers. If either paper misses a week, you must start over.
• If you realize mid-run that the text contains an error, you must start over.
• Coordinating two newspapers to run simultaneously for six weeks without missed issues requires active follow-up. Confirm with each paper that your notice is running each week.
• After the six-week run, both newspapers will send affidavits (sworn statements that the notice ran as required). Sometimes these arrive promptly; sometimes it takes multiple calls and emails.
• Scan and save both affidavits immediately. You will need them for your Certificate of Publication filing.

What typically goes wrong

• Using newspapers that are no longer designated → the entire six-week run does not count; you must start over with proper papers.
• A typo in the name or date → DOS rejects your Certificate of Publication; you must republish and pay again.
• One newspaper misses a week → run is not consecutive; you start over.
• Missing the 120-day deadline → PLLC authority to do business is suspended until you cure publication.
• Affidavits arrive with errors or missing information → DOS rejects them; you need corrected versions.
• Losing track of weeks → uncertainty about whether the run was truly consecutive.
• One paper goes out of business mid-run → you must restart with a different paper.
• Address in notice does not match DOS record → rejection months later.

Cost reality

Publication costs vary widely by county. Manhattan and the Bronx can easily exceed $1,000 just for publication. Other counties may still run several hundred dollars. These costs are unavoidable; you will pay them all over again if anything goes wrong.

When we handle publication, we:

• Confirm current county-designated newspapers through clerk relationships and vendor data.
• Draft and proof the notice against your DOS filing receipt character-by-character.
• Coordinate run dates and monitor completion with both papers.
• Collect and review affidavits before submitting your Certificate of Publication.

That is the only reliable way to avoid paying for six weeks of publication twice.

STEP 7 — FILING THE CERTIFICATE OF PUBLICATION

Once you have both affidavits, you must file a Certificate of Publication with DOS. This step has its own assembly requirements. Get them wrong and your filing will be rejected weeks or months later.

What to do

• Download the current Certificate of Publication form for PLLCs from the DOS website.
• Complete it with your exact PLLC name (it usually appears in multiple places), county, and contact information. The name must match your Articles exactly.

Assembly order (PLLC publication packet)

1. Certificate of Publication (page 1)
2. Affidavit from the weekly newspaper
3. Affidavit from the daily newspaper
4. Certificate of Publication (page 2)
5. Payment form for the filing fee (and expedite, if desired)

DOS expects affidavits to be "sandwiched" between the two pages of the Certificate in this order. Wrong order often means rejection.

Mail the packet to DOS using a trackable service and save a PDF of everything you send.

What typically goes wrong

• Wrong assembly order → rejection weeks or months later.
• Name on the Certificate does not match the DOS record exactly → rejection.
• Address does not match what was published → rejection.
• Affidavits are photocopies instead of originals → rejection.
• One affidavit is missing required elements → rejection.
• Filing without expedite → months of processing time.
• No copies retained → when rejected, you cannot easily see what you submitted.

Processing time

Without expedite, you may wait many months for the state to process the Certificate of Publication. Even with expedite, mailing adds 10–14 days total. Your only proof that publication was properly completed is the DOS filing receipt; you will want it preserved and backed up.

STEP 8 — GETTING YOUR EIN, OPENING A BANK ACCOUNT, AND FILING ASSUMED NAMES

Once your PLLC is officially formed and publication is complete, you still have several key administrative tasks.

What to do

• Apply for an EIN from the IRS. The online process is usually straightforward, but you will need your formation documents organized.
• Open a business bank account using your DOS filing receipt and your Operating Agreement. Different banks have different document requirements; call ahead to confirm what they need.
• File a Certificate of Assumed Name with DOS if you intend to do business under a different name (for marketing, website, invoices, etc.). This creates an official record linking your trade name to your PLLC.

What typically goes wrong

• Bank requires an Operating Agreement you have not created yet → you must draft one or reschedule your appointment.
• Bank demands a certified copy of your Articles → DOS charges for these and processing takes additional time.
• Using an unfiled trade name on contracts → creates legal and tax complications.
• EIN application gets held up because DOS filing has not fully propagated through state systems yet.

STEP 9 — ADOPTING AN OPERATING AGREEMENT

New York requires PLLCs to have an Operating Agreement, even though it is not filed with the state. Banks, investors, and sometimes clients will request to see it. Not having one can hold up transactions.

What to do

• Draft an Operating Agreement that addresses ownership, management structure, voting rights, restrictions related to your profession, compensation, buy-sell provisions, and banking authority.
• Make sure it is dated within the required timeframe after formation.
• Ensure it does not conflict with your Articles or OP approvals.
• Have all members/managers sign it and keep a copy with your core documents. It is not filed with the state but must be maintained.

What typically goes wrong

• Drafting an agreement that conflicts with your Articles or OP Certificate.
• Using a generic LLC template that ignores professional liability and licensing requirements.
• Not having all members sign before you need it for a bank or key transaction.
• Including provisions that violate professional practice rules in your field.

STEP 10 — STAYING COMPLIANT WITH BIENNIAL STATEMENTS

To keep your PLLC in good standing, you must file biennial statements with the state. Missing these filings can result in administrative dissolution.

What to do

• Set a calendar reminder for your biennial statement filing. It is due during the anniversary month of your formation every two years. DOS does not send reminders.
• Maintain an organized folder (physical and digital) with:
  • OP Certificate of Authority
  • DOS filing receipt
  • Articles of Organization
  • Newspaper affidavits and Certificate of Publication packet
  • Operating Agreement
  • EIN letter
• When ownership or management changes, update both OP and DOS so both agencies have consistent information.

What typically goes wrong

• Missing the biennial filing deadline → PLLC is administratively dissolved.
• Updating one agency but not the other → discrepancies that create problems during license renewals or audits.
• Poor records → you cannot complete the biennial accurately or support changes.
• Address changes not updated → important notices from the state do not reach you.

COMMON MISTAKES TO AVOID

These are the most frequent issues that derail PLLC formation and compliance:

• Using the wrong forms: The Professional Service Articles of Organization look similar to the standard LLC form, but they are different. Using the standard form leads to rejection.
• Name inconsistencies: Your PLLC name must be identical (punctuation, spacing, capitalization) across OP application, Articles, publication notice, Certificate of Publication, bank documents, and more. One variation anywhere can cause rejection.
• Publishing in the wrong papers: Only county-designated newspapers count, and designation lists change. Publishing in a non-designated paper makes the entire six-week run worthless.
• Missing the publication deadline: You have 120 days from filing to complete publication. Missing this deadline suspends your authority to do business until you cure it with another full run.
• Incomplete responses to OP: If OP sends a deficiency letter, answer what they asked and nothing else. Extra changes can create new issues.
• Losing critical documents: The state does not simply replace lost filing receipts. Without them, you will have serious trouble proving your PLLC exists.
• Assuming a single approval means you are done: There are multiple stages. Missing any one of them can render the entire process defective.

FREQUENTLY ASKED QUESTIONS ABOUT NEW YORK PLLCs

CONCLUSION

Forming a New York PLLC is not a one-form filing. It is a multi-step, multi-agency process with long timelines and very little margin for error. Small inconsistencies in names, addresses, or forms can trigger rejections months later and force you to redo expensive steps like publication.

NYPLLC.com exists to remove that risk and workload. For a flat $885, we handle:

• OP Certificate of Authority
• Professional Articles of Organization filing with DOS
• Full six-week publication in county-designated newspapers
• Certificate of Publication filing
• EIN and bank-ready documents, including an Operating Agreement

Our process is built around catching problems before they reach the state. Every step is checked for name and address consistency, correct forms and versions, and proper assembly so you are not paying twice for the same work.

You can follow this guide to handle the process yourself, or you can have us execute it end-to-end for a predictable flat fee. If you want your New York PLLC formed correctly, with minimal distraction from your practice, contact us and we will manage the entire process for you.

WE ARE NOT A LAW FIRM.