0000855713-17-000011.txt : 20171108 0000855713-17-000011.hdr.sgml : 20171108 20171108170138 ACCESSION NUMBER: 0000855713-17-000011 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20171108 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: 171187374 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 Joseph Alan Lakofka 003245627 N 1 0000855713 ROSS, SINCLAIRE & ASSOCIATES, LLC 02-01-2012 N 07-30-2014 0000855713 SUPERVISED 02-01-2012 700 WALNUT ST SUITE 600 CINCINNATI OH 45202 LOCATED 02-01-2012 325 W Main Street Suite 300 Lexington KY 40507 02-2012 Ross, Sinclaire and Associates Cincinnati OH 45202 Y Y Investment Banker 01-2010 02-2012 Sterne, Agee and leach, Inc Lexington KY 40504 Y Y Registered Representative 05-2000 01-2010 Fifth Third Securities, Inc Lexington KY 40507 Y Y Investment 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 11-08-2017 M Scott Games Compliance Officer