0000855713-14-000030.txt : 20140905 0000855713-14-000030.hdr.sgml : 20140905 20140905091941 ACCESSION NUMBER: 0000855713-14-000030 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140731 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: 141084652 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 David Arthur Banta 001899060 N 1 0000855713 ROSS, SINCLAIRE & ASSOCIATES, LLC 08-13-2012 N 07-30-2014 0000855713 SUPERVISED 08-13-2012 700 WALNUT ST SUITE 600 CINCINNATI OH 45202 LOCATED 08-13-2012 One State Street SUITE 300 BOSTON MA 02109 08-2012 ROSS, SINCLAIRE & ASSOCIATES, LLC BOSTON MA 02109 Y Y FINANCIAL ADVISOR 02-2011 07-2012 FIRST SOUTHWEST COMPANY BOSTON MA 02114 Y Y SENIOR VICE PRESIDENT 12-1991 01-2011 FIDELITY BROKERAGE SERVICES LLC BOSTON MA 02210 Y Y REGISTERED REPRESENTATIVE 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 07-31-2014 Andy Warning CCO