0000855713-16-000023.txt : 20160412
0000855713-16-000023.hdr.sgml : 20160412
20160412183324
ACCESSION NUMBER: 0000855713-16-000023
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20160401
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-A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-00447
FILM NUMBER: 161568119
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-A
1
primary_doc.xml
MA-A
0000855713
XXXXXXXX
Scott Games
513-762-3669
sgames@rsanet.com
awarning@rsanet.com
12-31-2015
Y
ROSS, SINCLAIRE & ASSOCIATES, LLC
000025440
20-2461737
866-00303-00
867-00447
008-41740
000025440
801-78513
000025440
700 WALNUT ST
SUITE 600
CINCINNATI
OH
45202
513-381-3939
Add
325 West Main Street
Suite 300
Lexington
KY
40507
800-255-0795
Add
175 South Third Street
Suite 1090
Columbus
OH
43215
614-220-0869
Add
401 West Main Street
#2110
Louisville
KY
40202
502-491-3939
NewAdd
5217 Maryland Way
Ste 302
Brentwood
TN
37027
866-722-0606
N
700 WALNUT ST
SUITE 600
CINCINNATI
OH
45202
www.rsanet.com
Andy
Scott
Warning
Director of Risk and Compliance
700 Walnut Street
Suite 600
Cincinnati
OH
45202
513-381-3939
awarning@rsanet.com
Michael
Scott
Games
Compliance Officer
700 Walnut Street
Suite 600
Cincinnati
OH
45202
513-381-3939
sgames@rsanet.com
December
OH
11-01-1989
Y
0000855713
76
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250
Municipal Entities
Non-profit organizations
Corporations or other businesses
0
0
0
Other
Municipalities and School Districts
Fixed Fees
Contingent Fees
Other
Solicitation is for self generating business
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Investments
Advice ME Other Investments
Solicitation Of IAB
Brokerage Of MEI
Y
Y
Y
Y
N
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
1
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N
N
N
N
N
N
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N
Y
N
Y
Y
N
Y
N
Y
N
N
Y
N
N
N
N
N
N
N
N
N
N
Murray
NMN
Sinclaire
CEO and President
11-01-1989
E
Y
001365335
Overbeck
Thomas
Fred
COO
10-01-2007
A
Y
004895534
Larry
Nelson
Taul
Director of Sales and Underwriting
07-22-1998
A
Y
002166909
Andy
Scott
Warning
Chief Compliance Officer
04-01-2014
NA
N
003211861
Add
Murray
NMN
Sinclaire
CEO and President
11-01-1989
E
Y
001365335
Add
Overbeck
Thomas
Fred
COO
10-01-2007
A
Y
004895534
Add
Larry
Nelson
Taul
Director of Sales and Underwriting
07-22-1998
A
Y
002166909
Add
Andy
Scott
Warning
Chief Compliance Officer
04-01-2014
NA
N
003211861
9-D2
9-D4
9-E2
Ross, Sinclaire and Associates
000025440
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9-C5
Ross, Sinclaire and Associates
000025440
1826139
M Scott Games
M Scott Games
Compliance Officer
04-01-2016
002773040
N
N
N
N
N
Y
N
Y
N
N
N
N
N
N
N
N
N
N
N
Y