0000855713-16-000033.txt : 20161205 0000855713-16-000033.hdr.sgml : 20161205 20161205144518 ACCESSION NUMBER: 0000855713-16-000033 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20161205 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: 162033504 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 Bryan S Skinner 005258106 N 1 0000855713 ROSS, SINCLAIRE & ASSOCIATES, LLC 04-02-2007 N 07-30-2014 0000855713 SUPERVISED 04-02-2007 700 WALNUT ST SUITE 600 CINCINNATI OH 45202 LOCATED 11-30-2009 325 W MAIN STREET SUITE 300 LEXINGTON KY 40507 04-2007 ROSS, SINCLAIRE & ASSOCIATES, LLC LEXINGTON KY 40507 Y Y Investment Banker 09-2006 04-2007 FIDELITY BROKERAGE SERVICES LLC BLUE ASH OH 45242 N Y Financial Representative 05-2006 09-2006 Unemployed Lexington KY 40517 N N n/a 05-2002 05-2006 University of Kentucky Lexington KY 40506 N N Student 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 12-05-2016 M Scott Games Compliance Officer