0000855713-18-000009.txt : 20180111 0000855713-18-000009.hdr.sgml : 20180111 20180111091501 ACCESSION NUMBER: 0000855713-18-000009 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: 18522816 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 Dwight Goodwill Salsbury 004539753 N 1 0000855713 ROSS, SINCLAIRE & ASSOCIATES, LLC 05-13-2002 N 867-00447 SUPERVISED 05-13-2002 700 WALNUT ST SUITE 600 CINCINNATI OH 45202 LOCATED 11-30-2009 325 W MAIN STREET SUITE 300 LEXINGTON KY 40507 05-2002 ROSS, SINCLAIRE & ASSOCIATES, LLC LEXINGTON KY 40507 Y Y Investment Banker Y 06-2014 CHANCE SCHOOL 4200 LIME KILN LANE LOUISVILLE KY 40222 N N PRIVATE PRE-SCHOOL / ELEMENTARY SCHOOL BOARD OF TRUSTEES 4 I AM ON THE BOARD OF TRUSTEES OF MY DAUGHTER'S SCHOOL. I AM ON THE FINANCE COMMITTEE FOR THE BOARD BUT DO NOT PROVIDE SPECIFIC DIRECTION ON INVESTMENTS. THE BOARD'S ENDOWMENT IS MANAGED BY AN OUTSIDE MONEY MANAGER. 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