Arizona Secretary of State - Ken Bennett


 
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Question - Where can I find an Organizational ID of a business registered in Arizona?Answer - Business organizational numbers, or registration numbers / filing numbers / Business ID’s, are obtained from different agencies within government.
    • Corporations and Limited Liability Corporations (LLC) are registered with the Corporation Commission, searchable at www.cc.state.az.us/corp/.
    • Trade names or "Doing Business As" DBA (NME), Trademarks (MRK), and partnerships (which include: General Partnerships (GP), Limited Partnerships (LP), Limited Liability Partnerships (LLP), Limited Liability Limited Partnerships (LLLP)) are filed with the Secretary of State, searchable here.
      • Both searches cross index each other’s registered names, so either may be used to search all of types of businesses listed above. On the Corporation Commission web site, the Organizational ID is the File Number column and on the Secretary of State web site, the Organizational ID is the ID column.
    • Charitable Organizations may be registered with the Department of Revenue or the Secretary of State, depending on type. The Charitable Organization should be able to identify their Organizational ID, however if they are registered at the Secretary of State, they may be searched here.
Question - When is the search conducted if the search box is checked on a UCC-1 financing statement?Answer - If the search box were checked at the time of filing on the UCC-1 filing statement, a search would be conducted at the time of processing the filing if the fee was sufficient. The search will be conducted at the time the filing is indexed. We are unable to hold onto the documents for searches to be conducted later.Question - What happens if the fee presented is not sufficient to cover the filing and the search?Answer - If the fee was not sufficient to cover the search and the filing fee, and if there is not indication otherwise, the filing would be processed (if the fee was sufficient for filing), but the search would not be conducted. Question - If I file a subsequent filing (UCC-3), but the name is not stated in the same way, or I make a mistake and list a different name as the debtor?Answer - The filing will be processed only under the file number presented on the subsequent filing. If a new name or altered debtor name is presented, the Filing Office will add that name to the debtor list. This is a significant change in Revised Article 9. Subsequent filings will be processed based on the file number -- debtor names will not be checked before processing and cannot be the criteria for rejection.Question - How do I complete the debtor information?Answer - Debtor and Secured party names must be identified as either an individual or organization. Each piece of the name is identified in a distinct field. The filing office will index EXACTLY what is presented in the fields. Names that are misspelled remain misspelled. Question - What fields are required if the debtor is an organization?Answer - Debtor and Secured party names must be identified as either an individual or organization. Filers must supply the organization's identification number, the type of organization and the jurisdiction of the organization. An example of an identification number would be the file number for an Arizona Corporation or a trade name file number from the Secretary of State's Office. These are boxes 1e, 1f, 1g. Filings without this information will be rejected. Question - How do I remove a debtor name?Answer - Names will not be removed from the index. Names removed specifically by an amendment will not be listed as active; however, the name will not be removed from the index until the lien is one year passed lapse date. Question - Is there a change in the time a UCC financing statement in Arizona is active?Answer - UCC-1 filings will be active for a period of five years (previously six years) beginning July 1, 2001. So update your calendars!Question - I heard that there may be a question of the effectiveness of filings set that lapse between July 1, 2001 and December 31, 2001; for instance, October 1, 2001. Answer - If a continuation is filed with this office before July 1, 2001, the date of lapse would be six years on October 1, 2007. Due to specific language in the law, the continuation statement may not be considered effective between July 1, 2007 and October 1, 2007 because of the unidentified fields in the debtor and secured party names. Customers may want to clarify the listing of the names on their filings by submitting an amendment prior to July 1, 2007.Question - Can I still search on your old system?Answer - The new search engine will be in place July 1, 2001; the old search engine will also be available reflecting the UCC system as of June 30, 2001. This old search is considered off-line and does not reference the current status of UCC filings.Question - Are there changes to the search request process?Answer - Search requests must identify the debtor as an individual or organization on the debtor name. If you wish the search to be conducted as an "individual" and a "organization," you must request separate searches. Arizona will abide by the national standard by IACA for search logic regarding punctuation. An individual's name will be broken out into designated fields by last name, middle name, and first name. For middle and first names, if an initial is presented, then all names beginning with that initial are returned. If a name is presented, all names matching are returned AND all names with the initial of the first letter of the name are returned.

The customer will specify the exact name search criteria. If a searcher enters only a last name, the search screen will identify all names that match that last name. If a searcher would search only on the first name "Mike," the search screen would identify every filing on "Mike" not "Michael" and every first name that lists only the letter "m."
Question - Can I still use your old search system?Answer - On June 30, 2001, the existing search index will be available as a backup copy, searchable for historical data only. This information will be available for public access but will not be updated. It will not reflect the status of liens, but will be available for six years.Question - I understand that certain words, will not be part of your search logic. How will that work?Answer - A list of "noise" words is available on the IACA web site that will be ignored if listed at the end of the debtor or secured party name in a search request. An example would be the word "company." Please see the IACA web site www.IACA.org. Question - What words might be ignored in my search request?Answer - Specific "noise" words are posted on the IACA web site at www.iaca.org. As an example, if a search were conducted on the name "Big Bad Company," the search results will be for every name that began "Big Bad." Question - Who is IACA?Answer - IACA is the "International Association of Corporate Administrators" and the sponsor of Revised Article Nine.Question - How will existing files be handled?Answer - All information will be converted to the new search logic through a transition logic. Filers should check on existing filings, as this office will be using a transition logic to break out existing names into specific fields. This is not a guaranteed conversion and does not protect the filer. Question - Will I be able to conduct my own certified search?Answer - This Office anticipates having certified electronic searches available online. Question - How will electronic filings work?Answer - Electronic filings will need to meet certain specifications, file format, and filing rules of this office. Information only is transmitted, not an image. The information will be formatted into presentation on the state's system.Question - How will terminations be filed?Answer - Terminations will not require signatures. UCC records will be marked as terminated so long as the UCC-3 form is completely properly, but will not be removed from the indexing system until the original lapse dates plus one year has passed. Question - Can I protest a filing record or make a correction?Answer - Correction statements can be filed by the debtor as an amendment to the file. Question - When is a UCC financing statement expired?Answer - Expired filings are those that have passed the five year lapse date and were not continued. They will continue on the index system labeled as "inactive" filings for one year past their lapse date, but are still searchable. Expired filings cannot be continued. Question - What is an "active" filing on your system?Answer - Active filings are those that have not reached their natural expiration of five years. These include terminated filings.Question - I understand that there are "Filing Office Correction Statements" available?Answer - A Filing Officer Statement is not to be confused with the correction statement. A filing officer statement will be used when this office determines that there was an error on the part of a filing officer in this office. This statement will also be available as part of a certified search and will function as an amendment to the filing.Question - It appears that there are more pages on the new UCC forms. Do I file all of them?Answer - Initial financing statements (UCC-1) have a front and backside. Addendum pages are also available. If the filer wants to show an additional debtor, the box for the additional debtor must be checked. The standard form is a single-sided 8x11 paper form; the "instructions" do not need to be filed.Question - Is it necessary to complete all the boxes if I am filing on an organization?Answer - All organizational fields must be completed, except the SSN/Tax ID/EIN No. box. Completing the Organizational Type, Jurisdiction and ID boxes is required in Arizona. Question - What form do I use if I need to terminate a UCC?Answer - Please use the UCC-3 form. The UCC-3 form should be used for terminations, continuations, assignments, and for an amendment to collateral. Partial releases are filed as amendments along with other miscellaneous amendments. This office will file the statement according to the box checked. It is the responsibility of the filer to select the proper box.Question - What form do I use if I need to file a continuation?Answer - Please use the UCC-3 form. The UCC-3 form should be used for continuations, amendment to collateral, assignments, and terminations. Partial releases are filed as amendments along with other miscellaneous amendments. This office will file the statement according to the box checked. It is the responsibility of the filer to select the proper box.Question - What form do I use if I need to file a partial release?Answer - Please use the UCC-3 form. The UCC-3 form should be used amendment to collateral. Partial releases are filed as amendments along with other miscellaneous amendments. This office will file the statement according to the box checked. It is the responsibility of the filer to select the proper box.Question - I understand that I may conduct my own UCC search online. But, how do I request a certified search?Answer - Please use the Information Request Form. You must specify an individual or organization in your search, or according to A.R.S. § 14-503, a search may also be limited by the search request to an address, city or date of filing along with the debtor name. Question - How will this Office file a UCC for multiple debtors? Answer - If multiple debtors are listed, but a field of one debtor name cannot be determined, all debtors that are complete and decipherable will be indexed. Those that cannot be read will not be listed. A notice will be sent to the filer identifying the location of the information which was indecipherable and therefore not indexed. If the information on a secured party is missing or indecipherable, the entire filing will be rejected. Filers should check their filings when they receive a notice. If a filer listed two first names in the first name field, both names would be entered as one name. Filers are responsible to file correctly.Question - How should I file my UCC if the debtor is a trust?Answer - Trusts should be listed as an organization in accordance with A.R.S. § 9503 (A) (3).Question - How should I file my UCC if the debtor is an estate?Answer - Estates should be listed as individuals in accordance with A.R.S. § 47-9503 (A) (2).Question - Where can I obtain the new National forms?Answer - The entire set of National forms will be available on our web site at www.azsos.gov. This includes the instruction pages. Filers need not include those pages, but if they are presented with the filing, everything that is presented will be filed. Forms are also available at www.iaca.org.Question – What is an "In Lieu" filing?Answer – An "In Lieu" filing, as outlined in A.R.S. § 47-9706, is the filing of a UCC-1 statement to continue the effectiveness of a financing statement filed before July 1, 2001.Question - What do I need to include in an "In Lieu" filing?Answer - Only a UCC-1 statement is required to file an "In Lieu" filing, where the UCC-1 identifies the jurisdiction, filing number, and filing date on the form. Filers may file documents previously filed at the county level as attachments at the filer’s discretion. The filer is responsible to ensure that the UCC-1 statement satisfies the requirements as outlined in A.R.S. § 47-9706Question - Will Arizona allow multiple filings on one UCC-3?Answer - We allow for following multiple filings on one document: amendment/continuation; assignment/continuation; amendment to delete debtor/assignment for one fee.

Please remember that forms filled out where fields are indecipherable will only be indexed for the information that we can determine. The following multiple filings on one document are not fileable in Arizona:
termination/continuation; termination/amendment; termination/assignment; amendment to add or change/assignment.
Question - Will Arizona require the bar code on the UCC form?Answer - The Arizona Secretary of State's office requires the use of the National Forms which include the bar code. If you are filing at the county level, you may want to contact the County Recorder's office to determine appropriate form and other filing requirements with their office.