0000855713-15-000017.txt : 20151214 0000855713-15-000017.hdr.sgml : 20151214 20151214151101 ACCESSION NUMBER: 0000855713-15-000017 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20151214 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: 151285814 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 N Mitchell Ira Kapnick 001173286 N 1 0000855713 ROSS, SINCLAIRE & ASSOCIATES, LLC 04-15-2013 N 07-30-2014 0000855713 SUPERVISED 04-15-2013 700 WALNUT ST SUITE 600 CINCINNATI OH 45202 LOCATED 04-15-2013 660 LASALLE PLACE SUITE 1A HIGHLAND PARK IL 60035 04-2013 ROSS, SINCLAIRE & ASSOCIATES, LLC HIGHLAND PARK IL 60035 Y Y Investment Banker 09-2007 04-2013 CABRERA CAPITAL MARKETS, LLC CHICAGO ID 60603 Y Y MANAGING DIRECTOR-MUNICIPAL SECURITIES 07-2005 09-2007 Key Banc Capital Markets Chicago IL 60606 Y Y SENIOR MUNICIPAL TRADER 05-2004 07-2005 CABRERA CAPITAL MARKETS CHICAGO IL 60603 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 12-14-2015 M Scott Games Compliance Officer