0000855713-18-000007.txt : 20180111 0000855713-18-000007.hdr.sgml : 20180111 20180111091543 ACCESSION NUMBER: 0000855713-18-000007 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20180110 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: 18522818 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 Zachary Ryan Logan 005014836 N 1 0000855713 ROSS, SINCLAIRE & ASSOCIATES, LLC 08-06-2012 N 867-00447 LOCATED SUPERVISED 08-06-2012 700 WALNUT ST SUITE 600 CINCINNATI OH 45202 08-2012 Ross, Sinclaire and Associates Cincinnati OH 45202 Y Y Director 03-2008 08-2012 RBC Capital Markets Cincinnati OH 45202 Y Y Municipal Finance Analyst 06-2007 03-2008 RBC Dain Rauscher Cincinnati OH 45202 Y Y FIB Analyst 08-2005 06-2007 Seasongood and Mayer Cincinnati OH 45202 Y Y Associate 06-2001 05-2005 Johnson Investment Cincinnati OH 45202 N Y Portfolio Manager Assistant 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 01-10-2018 M Scott Games Compliance Officer