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