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Karl A Mr Spisak

ROSS, SINCLAIRE & ASSOCIATES, LLC·CINCINNATI, Ohio
SIE, Series 27, Series 99TOClean recordROSS, SINCLAIRE & ASSOCIATES, LLC
700 WALNUT STREET, CINCINNATI, OH 45202-2027CRD# 5206890Firm CRD# 25440

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Karl A Mr Spisak · CINCINNATI, OH
Registration
CRD #5206890 · ROSS, SINCLAIRE & ASSOCIATES, LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 27
Series 99TO
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD 25440 · SEC 801-78513
AUM
$354M
Regulatory assets under management
Employees
7
808 client accounts
Services offered by ROSS, SINCLAIRE & ASSOCIATES, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Security ratings or pricing services
Other
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at ROSS, SINCLAIRE & ASSOCIATES, LLC →
Introduction

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Frequently Asked Questions

What services does Karl A Mr Spisak offer?
Karl A Mr Spisak specializes in Financial Planning, Investment Management. Contact their office in CINCINNATI, Ohio for a consultation.
What are Karl A Mr Spisak's credentials?
Karl A Mr Spisak is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Karl A Mr Spisak located?
Karl A Mr Spisak is based in CINCINNATI, Ohio, working with ROSS, SINCLAIRE & ASSOCIATES, LLC. Their office serves clients in the CINCINNATI metropolitan area and surrounding communities.
How does Karl A Mr Spisak charge for services?
Karl A Mr Spisak's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is ROSS, SINCLAIRE & ASSOCIATES, LLC?
ROSS, SINCLAIRE & ASSOCIATES, LLC has approximately 7 employees and manages $354M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at ROSS, SINCLAIRE & ASSOCIATES, LLC

Beverly Ann Kennedy
CINCINNATI, OH
Murray Sinclaire
CINCINNATI, OH

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