0000855713-14-000013.txt : 20140905 0000855713-14-000013.hdr.sgml : 20140905 20140905085032 ACCESSION NUMBER: 0000855713-14-000013 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140730 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROSS, SINCLAIRE & ASSOCIATES, LLC CENTRAL INDEX KEY: 0000855713 IRS NUMBER: 202461737 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-02640 FILM NUMBER: 141084592 BUSINESS ADDRESS: STREET 1: 700 WALNUT ST STREET 2: SUITE 600 CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 513-381-3939 MAIL ADDRESS: STREET 1: 700 WALNUT ST STREET 2: SUITE 600 CITY: CINCINNATI STATE: OH ZIP: 45202 FORMER COMPANY: FORMER CONFORMED NAME: ROSS, SINCLAIRE & ASSOCIATES, INC. DATE OF NAME CHANGE: 20051010 FORMER COMPANY: FORMER CONFORMED NAME: ROSS, SINCLAIRE & ASSOCIATES, LLC DATE OF NAME CHANGE: 20051004 FORMER COMPANY: FORMER CONFORMED NAME: ROSS, SINCLAIRE & ASSOCIATES, INC. DATE OF NAME CHANGE: 20020722 MA-I 1 primary_doc.xml MA-I 0000855713 XXXXXXXX Andy Warning 513-762-3693 awarning@rsanet.com sgames@rsanet.com N Daniel Raymond Blank 001370454 N 1 0000855713 ROSS, SINCLAIRE & ASSOCIATES, LLC 07-18-2011 N 07-29-2014 0000855713 LOCATED SUPERVISED 07-18-2011 700 WALNUT ST SUITE 600 CINCINNATI OH 45202 07-2011 Ross, Sinclaire and Associates Cincinnati OH 45202 Y Y Investment Banker 06-2007 07-2011 RBC Capital Markets Cincinnati OH 45202 Y Y Investment Banker 01-1996 06-2007 Seasongood and Mayer Cincinnati OH 45202 Y Y Investment Banker N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 07-30-2014 Andy Warning CCO