0000855713-20-000002.txt : 20200106
0000855713-20-000002.hdr.sgml : 20200106
20200106111100
ACCESSION NUMBER: 0000855713-20-000002
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
NANCE,JOSEPH,HARDY,
FILED AS OF DATE: 20200106
DATE AS OF CHANGE: 20200106
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: 20508512
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
M Scott Games
513-762-3669
sgames@rsanet.com
sgames@rsanet.com
N
Y
Joseph
Hardy
Nance
2159368
N
1
0000855713
ROSS, SINCLAIRE & ASSOCIATES, LLC
06-03-1991
N
07-30-2014
0000855713
SUPERVISED
06-03-1991
700 WALNUT ST
SUITE 600
CINCINNATI
OH
45202
LOCATED
11-30-2009
325 W Main St
Ste 300
Lexington
KY
40507
06-1991
ROSS, SINCLAIRE & ASSOCIATES, LLC
Lexington
KY
40507
Y
Y
Investment Banker
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
01-06-2020
M Scott Games
Compliance Officer