0000855713-15-000004.txt : 20150820 0000855713-15-000004.hdr.sgml : 20150820 20150820143209 ACCESSION NUMBER: 0000855713-15-000004 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150818 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: 151066097 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 Omar NMN Ganoom 002844440 N 1 0000855713 ROSS, SINCLAIRE & ASSOCIATES, LLC 02-25-2009 N 07-30-2014 0000855713 SUPERVISED 02-25-2009 700 WALNUT ST SUITE 600 CINCINNATI OH 45202 LOCATED 02-25-2009 175 South Third Street Suite 1090 Columbus OH 43215 02-2009 Ross, Sinclaire and Associates Cincinnati OH 45202 Y Y Public Finance 03-2000 02-2009 Butler, Wick and Co. Youngstown OH 43215 Y Y Sr VP/Managing Director 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 Y Y N N N N N N N N N N N 08-18-2015 M Scott Games Compliance Officer Omar Ganoom 002844440 1307933 6I(1)(a)