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