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