0000855713-15-000001.txt : 20150203 0000855713-15-000001.hdr.sgml : 20150203 20150203172334 ACCESSION NUMBER: 0000855713-15-000001 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150203 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-02640 FILM NUMBER: 15572362 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/A 1 primary_doc.xml MA-I/A 0000855713 XXXXXXXX Andy Warning 513-762-3693 awarning@rsanet.com sgames@rsanet.com N Y Glenn Edward Brashear 000029114 N 1 0000855713 ROSS, SINCLAIRE & ASSOCIATES, LLC 04-01-1997 N 07-30-2014 0000855713 SUPERVISED 04-01-1997 700 WALNUT ST SUITE 600 CINCINNATI OH 45202 LOCATED 04-01-1997 ONE RIVERFRONT PLAZA SUITE 2110 LOUSIVILLE KY 40202 04-1997 ROSS, SINCLAIRE & ASSOCIATES, LLC LOUSIVILLE KY 40202 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 02-03-2015 M Scott Games Compliance Officer