0000855713-19-000005.txt : 20190405 0000855713-19-000005.hdr.sgml : 20190405 20190405150713 ACCESSION NUMBER: 0000855713-19-000005 CONFORMED SUBMISSION TYPE: MA-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190328 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-A SEC ACT: 1934 Act SEC FILE NUMBER: 867-00447 FILM NUMBER: 19734886 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-A 1 primary_doc.xml MA-A 0000855713 XXXXXXXX Scott Games 513-762-3669 sgames@rsanet.com awarning@rsanet.com 12-31-2018 Y ROSS, SINCLAIRE & ASSOCIATES, LLC 000025440 20-2461737 866-00303-00 867-00447 008-41740 000025440 801-78513 000025440 700 WALNUT ST SUITE 600 CINCINNATI OH 45202 513-381-3939 Add 325 West Main Street Suite 300 Lexington KY 40507 800-255-0795 Delete 9757 Fairway Drive Powell OH 43065 800-657-7776 Delete 401 West Main Street #2110 Louisville KY 40202 502-491-3939 Delete 5217 Maryland Way Ste 302 Brentwood TN 37027 866-722-0606 N 700 WALNUT ST SUITE 600 CINCINNATI OH 45202 www.rsanet.com Andy Scott Warning

700 Walnut Street Suite 600 Cincinnati OH 45202

513-381-3939 awarning@rsanet.com Michael Scott Games

700 Walnut Street Suite 600 Cincinnati OH 45202

513-381-3939 sgames@rsanet.com December OH 11-01-1989 Y 0000855713 70 9 8 0 0 55 Municipal Entities Non-profit organizations Corporations or other businesses 0 0 0 Other Municipalities and School Districts Fixed Fees Contingent Fees Other Solicitation is for self generating business Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Solicitation Of IAB Brokerage Of MEI Y Y Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer 1 Y Y N N Y Y N N N N N N N N N N N N Y N Y Y Y Y N Y Y N Y N Y N Y N N N N N N Murray NMN Sinclaire Founder 11-01-1989 E Y 001365335 Overbeck Thomas Fred COO 10-01-2007 A Y 004895534 Larry Nelson Taul Director of Sales and Underwriting 07-22-1998 A Y 002166909 Andy Scott Warning Chief Compliance Officer 04-01-2014 NA N 003211861 Amend Murray NMN Sinclaire Founder 11-01-1989 E Y 001365335 Add Overbeck Thomas Fred COO 10-01-2007 A Y 004895534 Add Larry Nelson Taul Director of Sales and Underwriting 07-22-1998 A Y 002166909 Add Andy Scott Warning Chief Compliance Officer 04-01-2014 NA N 003211861 9-D2 9-D4 9-E2 Ross, Sinclaire and Associates 000025440 1711246 9-D2 Ross, Sinclaire and Associates 000025440 1657894 9-D2 Ross, Sinclaire and Associates 000025440 1477065 9-C2 9-C4 9-C5 Ross, Sinclaire and Associates 000025440 1826139 1 9-C2 9-C4 9-C5 Ross, Sinclaire & Associates, LLC 000025440 1890690 Murray n/a Sinclaire Jr N Murray Sinclaire Jr 001365335 1888626 9-D2 9-D4 9-E2 ROSS, SINCLAIRE & ASSOCIATES, LLC 000025440 1914513 1 9-C2 9-C4 Ross, Sinclaire & Associates, LLC 000025440 1888602 Murray n/a Sinclaire Jr N 001365335 Murray Sinclaire Jr 001365335 1888626 9-D1 Ross, Sinclaire & Associates, LLC 000025440 304129 9-D2 9-D4 Ross, Sinclaire & Associates, LLC 000025440 1738277 9-D2 9-D4 Ross, Sinclaire & Associates, LLC 000025440 334091 9-D2 Ross, Sinclaire & Associates, LLC 000025440 277415 9-E2 Ross, Sinclaire & Associates, LLC 000025440 770522 1 9-G Ross, Sinclaire & Associates, LLC 000025440 1961185 Murray n/a Sinclaire Jr N 001365335 Murray Sinclaire Jr 001365335 1951973 M Scott Games M Scott Games Compliance Officer 03-28-2019 002773040 N N N N N Y N Y N N N N N N N N N N N Y N