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  5. RAY SMITH & ASSOCIATES, INC.

RAY SMITH & ASSOCIATES, INC.

Company Details

Name: RAY SMITH & ASSOCIATES, INC.
Jurisdiction: New York
Legal type: DOMESTIC BUSINESS CORPORATION
Status: Active
Date of registration: 30 Sep 1993 (31 years ago)
Entity Number: 1760802
ZIP code: 11969
County: Suffolk
Place of Formation: New York
Principal Address: 78 White Street, Southampton, NY, United States, 11968
Address: PO Box 5024, Southampton, NY, United States, 11969

Shares Details

Shares issued 200

Share Par Value 0

Type NO PAR VALUE

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
RAY SMITH & ASSOCIATES 401(K) PLAN 2023 113187264 2024-01-29 RAY SMITH & ASSOCIATES, INC. 31
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2016-01-01
Business code 541320
Sponsor’s telephone number 6312876100
Plan sponsor’s address 78 WHITE STREET, SOUTHAMPTON, NY, 119685427

Signature of
Role Plan administrator
Date 2024-01-29
Name of individual signing MARGARETA BALOG
Role Employer/plan sponsor
Date 2024-01-29
Name of individual signing MARGARETA BALOG
RAY SMITH & ASSOCIATES 401(K) PLAN 2022 113187264 2023-02-01 RAY SMITH & ASSOCIATES, INC. 30
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2016-01-01
Business code 541320
Sponsor’s telephone number 6312876100
Plan sponsor’s address 78 WHITE STREET, SOUTHAMPTON, NY, 119685427

Signature of
Role Plan administrator
Date 2023-02-01
Name of individual signing MARGARETA BALOG
Role Employer/plan sponsor
Date 2023-02-01
Name of individual signing RAYMOND SMITH
RAY SMITH & ASSOCIATES 401(K) PLAN 2021 113187264 2022-02-03 RAY SMITH & ASSOCIATES, INC. 31
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2016-01-01
Business code 541320
Sponsor’s telephone number 6312876100
Plan sponsor’s address 78 WHITE STREET, SOUTHAMPTON, NY, 119685427

Signature of
Role Plan administrator
Date 2022-02-03
Name of individual signing MARGARETA BALOG
Role Employer/plan sponsor
Date 2022-02-03
Name of individual signing MARGARETA BALOG
RAY SMITH & ASSOCIATES 401(K) PLAN 2020 113187264 2021-02-02 RAY SMITH & ASSOCIATES, INC. 29
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2016-01-01
Business code 541320
Sponsor’s telephone number 6312876100
Plan sponsor’s address 78 WHITE STREET, SOUTHAMPTON, NY, 119685427

Signature of
Role Plan administrator
Date 2021-02-02
Name of individual signing MARGARETA BALOG
Role Employer/plan sponsor
Date 2021-02-02
Name of individual signing MARGARETA BALOG
RAY SMITH & ASSOCIATES 401(K) PLAN 2019 113187264 2020-03-26 RAY SMITH & ASSOCIATES, INC. 29
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2016-01-01
Business code 541320
Sponsor’s telephone number 6312876100
Plan sponsor’s address 78 WHITE STREET, SOUTHAMPTON, NY, 119685427

Signature of
Role Plan administrator
Date 2020-03-26
Name of individual signing MONICA BALOG
RAY SMITH & ASSOCIATES 401(K) PLAN 2018 113187264 2019-02-20 RAY SMITH & ASSOCIATES, INC. 27
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2016-01-01
Business code 541320
Sponsor’s telephone number 6312876100
Plan sponsor’s address 78 WHITE STREET, SOUTHAMPTON, NY, 119685427

Signature of
Role Plan administrator
Date 2019-02-20
Name of individual signing MONICA BALOG
Role Employer/plan sponsor
Date 2019-02-20
Name of individual signing MONICA BALOG
RAY SMITH & ASSOCIATES 401(K) PLAN 2017 113187264 2018-06-27 RAY SMITH & ASSOCIATES, INC. 6
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2016-01-01
Business code 541320
Sponsor’s telephone number 6312876100
Plan sponsor’s address 78 WHITE STREET, SOUTHAMPTON, NY, 119685427

Signature of
Role Plan administrator
Date 2018-06-27
Name of individual signing MARGARETA BALOG
Role Employer/plan sponsor
Date 2018-06-27
Name of individual signing MARGARETA BALOG
RAY SMITH ASSOCIATES INC. 401 K PROFIT SHARING PLAN TRUST 2016 113187264 2017-06-29 RAY SMITH & ASSOCIATES INC. 30
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2016-01-01
Business code 541320
Sponsor’s telephone number 6312876100
Plan sponsor’s address 27 HENRY ROAD, SOUTHAMPTON, NY, 11968

Signature of
Role Plan administrator
Date 2017-06-29
Name of individual signing MARGARETA BALOG

Chief Executive Officer

Name Role Address
RAYMOND SMITH Chief Executive Officer 78 WHITE STREET, SOUTHAMPTON, NY, United States, 11968

DOS Process Agent

Name Role Address
RAY SMITH & ASSOC. DOS Process Agent PO Box 5024, Southampton, NY, United States, 11969

Permits

Number Date End date Type Address
10031 2015-01-01 2026-12-31 Pesticide use No data

History

Start date End date Type Value
2023-09-07 2023-09-07 Address 78 WHITE STREET, SOUTHAMPTON, NY, 11968, USA (Type of address: Chief Executive Officer)
2019-09-13 2023-09-07 Address 78 WHITE STREET, SOUTHAMPTON, NY, 11968, USA (Type of address: Chief Executive Officer)
2009-10-15 2019-09-13 Address 27 HENRY RD, SOUTHAMPTON, NY, 11968, USA (Type of address: Chief Executive Officer)
2003-09-11 2019-09-13 Address 27 HENRY RD, SOUTHAMPTON, NY, 11968, USA (Type of address: Principal Executive Office)
2002-02-08 2023-09-07 Address P.O. BOX 5024, SOUTHAMPTON, NY, 11969, USA (Type of address: Service of Process)
2002-02-08 2023-09-07 Shares Share type: NO PAR VALUE, Number of shares: 200, Par value: 0
1997-10-20 2003-09-11 Address 27 HENRY ST, SOUTHAMPTON, NY, 11969, USA (Type of address: Principal Executive Office)
1997-10-20 2009-10-15 Address 27 HENRY ST, SOUTHAMPTON, NY, 11968, USA (Type of address: Chief Executive Officer)
1995-11-06 1997-10-20 Address HENRY ROAD, SOUTHAMPTON, NY, 11968, USA (Type of address: Chief Executive Officer)
1995-11-06 1997-10-20 Address HENRY ROAD, SOUTHAMPTON, NY, 11968, USA (Type of address: Principal Executive Office)

Filings

Filing Number Date Filed Type Effective Date
230907001247 2023-09-07 BIENNIAL STATEMENT 2023-09-01
210921001761 2021-09-21 BIENNIAL STATEMENT 2021-09-21
190913060119 2019-09-13 BIENNIAL STATEMENT 2019-09-01
170901007091 2017-09-01 BIENNIAL STATEMENT 2017-09-01
150901006089 2015-09-01 BIENNIAL STATEMENT 2015-09-01
130911006042 2013-09-11 BIENNIAL STATEMENT 2013-09-01
110921002062 2011-09-21 BIENNIAL STATEMENT 2011-09-01
091015002829 2009-10-15 BIENNIAL STATEMENT 2009-09-01
070913002134 2007-09-13 BIENNIAL STATEMENT 2007-09-01
051102002872 2005-11-02 BIENNIAL STATEMENT 2005-09-01

Paycheck Protection Program

Loan Number Loan Funded Date SBA Origination Office Code Loan Delivery Method Borrower Street Address
8322437102 2020-04-15 0235 PPP 78 White Street, SOUTHAMPTON, NY, 11968-5205
Loan Status Date 2021-11-20
Loan Status Paid in Full
Loan Maturity in Months 24
SBA Guaranty Percentage 100
Loan Approval Amount (at origination) 551900
Loan Approval Amount (current) 551900
Undisbursed Amount 0
Franchise Name -
Lender Location ID 46104
Servicing Lender Name Dime Community Bank
Servicing Lender Address 2200 Montauk Hwy, BRIDGEHAMPTON, NY, 11932
Rural or Urban Indicator U
Hubzone N
LMI N
Business Age Description Existing or more than 2 years old
Project Address SOUTHAMPTON, SUFFOLK, NY, 11968-5205
Project Congressional District NY-01
Number of Employees 31
NAICS code 541320
Borrower Race White
Borrower Ethnicity Unknown/NotStated
Business Type Corporation
Originating Lender ID 46104
Originating Lender Name Dime Community Bank
Originating Lender Address BRIDGEHAMPTON, NY
Gender Male Owned
Veteran Non-Veteran
Forgiveness Amount 556269.21
Forgiveness Paid Date 2021-02-02

Motor Carrier Census

USDOT Number Carrier Operation MCS-150 Form Date MCS-150 Mileage MCS-150 Year Power Units Drivers Operation Classification
1152156 Intrastate Non-Hazmat 2023-04-24 31000 2022 21 22 Private(Property)
Legal Name RAY SMITH & ASSOCIATES INC
DBA Name -
Physical Address 78 WHITE STREET, SOUTHAMPTON, NY, 11968, US
Mailing Address PO BOX 5024, SOUTHAMPTON, NY, 11969, US
Phone (631) 287-6100
Fax (631) 287-6245
E-mail RSATREE@OPTONLINE.NET

Safety Measurement System - All Transportation
Total Number of Inspections for the measurement period (24 months) 1
Driver Fitness BASIC Serious Violation Indicator No
Vehicle Maintenance BASIC Acute/Critical Indicator No
Unsafe Driving BASIC Acute/Critical Indicator No
Driver Fitness BASIC Roadside Performance measure value 0
Hours-of-Service (HOS) Compliance BASIC Roadside Performance measure value 0
Total Number of Driver Inspections for the measurment period 1
Vehicle Maintenance BASIC Roadside Performance measure value 8
Total Number of Vehicle Inspections for the measurement period 1
Controlled Substances and Alcohol BASIC Roadside Performance measure value 0
Unsafe Driving BASIC Roadside Performance Measure Value 0
Number of inspections with at least one Driver Fitness BASIC violation 0
Number of inspections with at least one Hours-of-Service BASIC violation 0
Total Number of Driver Inspections containing at least one Driver Out-of-Service Violation 0
Number of inspections with at least one Vehicle Maintenance BASIC violation 1
Total Number of Vehicle Inspections containing at least one Vehicle Out-of-Service violation 0
Number of inspections with at least one Controlled Substances and Alcohol BASIC violation 0
Number of inspections with at least one Unsafe Driving BASIC violation 0

Inspections
Unique report number of the inspection SPL0164330
State abbreviation that indicates the state the inspector is from NY
The date of the inspection 2023-06-08
ID that indicates the level of inspection Walk-around
State abbreviation that indicates where the inspection occurred NY
Time weight of the inspection 1
Number of Out-Of-Service violations related to Driver 0
Number of Out-Of-Service violations related to vehicle 0
Number of violations related to Hazardous Materials 1
Total number of Out-Of-Service violations 0
Total number of Out-Of-Service violations related to Hazardous Materials 0
Hazardous substance labeling is required N
Description of the type of the main unit STRAIGHT TRUCK
Description of the make of the main unit FORD
License plate of the main unit 21397ME
License state of the main unit NY
Vehicle Identification Number of the main unit 3FRNW6FC6DV027972
Unsafe Driving BASIC inspection Y
Hours-of-Service Compliance BASIC inspection Y
Driver Fitness BASIC inspection Y
Controlled Substances/Alcohol BASIC inspection Y
Vehicle Maintenance BASIC inspection Y
Total number of BASIC violations 3
Number of Unsafe Driving BASIC violations 0
Number of Hours-of-Service Compliance BASIC violations 0
Number of Driver Fitness BASIC violations 0
Number of Controlled Substances/Alcohol BASIC violations 0
Number of Vehicle Maintenance BASIC violations 3
Number of Hazardous Materials Compliance BASIC violations 0

Violations
The date of the inspection 2023-06-08
Code of the violation 39617C
Name of the BASIC Vehicle Maintenance
The violation is identified as Out-Of-Service violation N
The weight that is assigned to a violation if it's identified as an Out-Of-Service violation 0
The severity weight that is assigned to a violation 4
The time weight that is assigned to a violation 1
The description of a violation Operating a CMV without proof of a periodic inspection
The description of the violation group Inspection Reports
The unit a violation is cited against Vehicle main unit
The date of the inspection 2023-06-08
Code of the violation 39395F
Name of the BASIC Vehicle Maintenance
The violation is identified as Out-Of-Service violation N
The weight that is assigned to a violation if it's identified as an Out-Of-Service violation 0
The severity weight that is assigned to a violation 2
The time weight that is assigned to a violation 1
The description of a violation Emergency Equipment - Stopped vehicle warning devices missing or improper
The description of the violation group Emergency Equipment
The unit a violation is cited against Vehicle main unit
The date of the inspection 2023-06-08
Code of the violation 39395A
Name of the BASIC Vehicle Maintenance
The violation is identified as Out-Of-Service violation N
The weight that is assigned to a violation if it's identified as an Out-Of-Service violation 0
The severity weight that is assigned to a violation 2
The time weight that is assigned to a violation 1
The description of a violation No/discharged/unsecured fire extinguisher
The description of the violation group Emergency Equipment
The unit a violation is cited against Vehicle main unit

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Related by address

No related companies by address

Date of last update: 15 Mar 2025

Sources: New York Secretary of State

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