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Investment Adviser Firm Summary

ROSS, SINCLAIRE & ASSOCIATES, LLC (CRD# 25440 / SEC# 8-41740, 801-78513)
Alternate Names: CLIENTFIRST FINANCIAL STRATEGIES , MIG SECURITIES CORP. , ROSS, SINCLAIRE & ASSOCIATES, INC. , ROSS, SINCLAIRE & ASSOCIATES, LLC , RSA SECURITIES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/13/2013
Kentucky Terminated 09/20/2013
Massachusetts Terminated 09/20/2013
Ohio Terminated 09/23/2013

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 09/13/2013
California 11/08/2016
Colorado 09/13/2013
Connecticut 09/13/2013
Florida 09/13/2013
Illinois 03/30/2016
Indiana 09/13/2013
Kentucky 09/13/2013
Massachusetts 09/13/2013
New Jersey 12/08/2016
New York 11/08/2016
North Carolina 09/13/2013
Ohio 09/13/2013
South Carolina 03/29/2016
Tennessee 09/13/2013
Texas 09/13/2013
Virginia 11/08/2016

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser