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