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