AUCTION HOUSE (PREMISES) (128)

License Application Checklist

DCA Licensing Center
42 Broadway, 5th Floor
New York, NY 10004
For more information, call 311.

Any business that owns or rents a space where a public auction occurs must have an Auction House (Premises) license. Only licensed Auctioneers may act as an Auctioneer at the Auction House. Note: Licensees are required to comply with all relevant laws and rules, including the Consumer Protection Law. For a copy of the actual law regarding this license category, call 311 or come in person to the DCA Licensing Center at the address above.

Below are the requirements for obtaining this license. All documents listed below must be submitted when filing your application. Applications must be filed in person at the DCA Licensing Center, 42 Broadway, 5th floor, in Manhattan between 9:00 a.m. and 5:00 p.m. on Monday, Tuesday, Thursday and Friday, and on Wednesday from 9:00 a.m. to 5:30 p.m.

To speed processing, please submit documents in the order listed below.

• Basic License Application (download).

*ATTENTION NEW LICENSE APPLICANT: Learn how to fill out DCA's new online application form.

• For Sole Proprietorships, submit a notarized copy of your Business Certificate. The County Clerk of the borough in which your business is located must certify this certificate. The address appearing on your Business Certificate must be identical to the address for which you are seeking a license. If you are a sole proprietor doing business under your own name, and not a trade or Doing Business As (DBA) name, you do not need a Business Certificate.

• For Partnerships, submit a notarized copy of your Partnership Certificate. The County Clerk of the borough in which your business is located must certify this certificate. The address appearing on your Partnership Certificate must be identical to the address for which you are seeking a license.

• For Corporations, submit a stamped Certificate of Incorporation or a filing receipt. If applicable, you must also submit your corporation's Assumed Name Certificate. The certificate(s) must be stamped by the New York State Secretary of State. For more information, contact the New York State Secretary of State's Division of Corporations at (518) 473-2492. If your business is an out-of-state corporation, you must obtain a Certificate of Doing Business in Good Standing from your home state’s Secretary of State and file this with an application for Authority to Conduct Business in New York with the New York State Secretary of State. A filing receipt from the New York State Secretary of State will be acceptable as proof.

• Sales Tax Identification Number. This is the 9-digit number on your New York State Department of Taxation and Finance Certificate of Authority. You must enter this number on the Basic License Application form. Applications for a Sales Tax Identification Number are available at the New York State Department of Taxation and Finance office at 55 Hanson Place, Brooklyn, NY or call (800) 462-8100. In addition to the tax form, you can ask for Publication 750 (A Guide to Sales Tax in New York State). Allow four to six weeks after applying to the New York State Department of Taxation and Finance to receive your Certificate of Authority.

• Photo ID. For each proprietor, partner, director, corporate officer and each stockholder owning 10% or more of company stock, you must provide one of the following:

• a driver's license or a non-driver's ID issued by a State Department of Motor Vehicles
• a license or permit issued by a government agency
• a passport
• an alien card/green card
• if applicant is a city, state or federal employee, an employee identification card

Note: If this application will be filed by someone other than an owner, partner or corporate officer, the person filing the application must submit an original, notarized Affidavit Granting Authority to Act (download) together with one of the above acceptable forms of ID.

• Fingerprints. All sole proprietors, partners, directors, corporate officers, and stockholders who own 10% or more of a corporate applicant must be fingerprinted. Each person to be fingerprinted must come in person with Photo ID to the DCA Licensing Center at 42 Broadway, 5th floor, in Manhattan. Each person to be fingerprinted must pay a processing fee of $75 by Check (corporate or personal) or Postal Money Order, payable to NYC Department of Consumer Affairs. (Cash will not be accepted.) Your fingerprints will be checked for any criminal records that you may have. Note that a conviction will not necessarily prevent you from being granted a license. However, failure to reveal a conviction can constitute grounds for the denial of your application.
  
  
• Original $2,000 Third Party Bond. This must be properly signed and notarized. The Department of Consumer Affairs must be named as the Certificate Holder. You must also submit a bond receipt showing that the bond has been paid in full and does not expire before the end of the licensing period. For a list of bonding companies in the area, click here.
  
  
• If you are a SOLE PROPRIETORSHIP or a PARTNERSHIP, the proprietor and each partner must submit a Notarized Child Support Certification form (download).

• License Fee. Must be paid by check or money order payable to NYC Department of Consumer Affairs. The chart below lists the amount due depending upon when your license application is filed. Note: An odd year is any year ending in an odd digit, for example, 2005, 2007, etc. An even year is any year ending in an even digit, for example, 2006, 2008, etc.