0000855713-19-000007.txt : 20190731
0000855713-19-000007.hdr.sgml : 20190731
20190731125032
ACCESSION NUMBER: 0000855713-19-000007
CONFORMED SUBMISSION TYPE: MA/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20190716
DATE AS OF CHANGE: 20190731
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: 19988150
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
ROSS, SINCLAIRE & ASSOCIATES, LLC
25440
20-2461737
866-00303-00
867-00447
008-41740
25440
801-78513
25440
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
401 West Main Street
#2110
Louisville
KY
40202
502-491-3939
N
www.rsanet.com
Andy
Scott
Warning
Director of Risk and Compliance
700 Walnut Street
Suite 600
Cincinnati
OH
45202
513-381-3939
awarning@rsanet.com
Michael
Scott
Games
Compliance Officer
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
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N
N
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Murray
NMN
Sinclaire
Founder
11-01-1989
E
Y
1365335
Overbeck
Thomas
Fred
COO
10-01-2007
A
Y
4895534
Larry
Nelson
Taul
Director of Sales and Underwriting
07-22-1998
A
Y
2166909
Andy
Scott
Warning
Chief Compliance Officer
04-01-2014
NA
N
3211861
Murray
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Founder
11-01-1989
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Y
1365335
Overbeck
Thomas
Fred
COO
10-01-2007
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Y
4895534
Larry
Nelson
Taul
Director of Sales and Underwriting
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A
Y
2166909
Andy
Scott
Warning
Chief Compliance Officer
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N
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Ross, Sinclaire & Associates, LLC
25440
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M Scott Games
M Scott Games
Compliance Officer
07-16-2019
2773040
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Y
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Y
N