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