RF
Richard L. Fox
ALEXANDER INVESTMENT SERVICES CO.
Harlan, KY 40831
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CRD#: 1238021
RF
Professional summary
Richard Lynn Fox, who also goes by Rick Fox, is a registered financial advisor currently at ALEXANDER INVESTMENT SERVICES CO. located in Harlan, Kentucky.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Richard has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Fox
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
MONTICELLO BANKING COMPANY (dba MONTICELLO BANK), Community Advisor. Not securities-related. Time commitment is approximately 2 hours per month outside of Trading Hours. ROY'S BOYS, LLC. A small real estate investment company that owns a single commercial office building. Minority shareholder. Not securities-related. No significant amount of time regularly devoted to this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lynn Fox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Lynn Fox's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 19, 2022 - Present
ALEXANDER INVESTMENT SERVICES CO.
Office #1: Hendrickson Building - Suite 207 P.o. Box 1728, Harlan, KY 40831RIA
BD
CRD#: 1037
Harlan, KY
Current
February 24, 1984 - Present
ALEXANDER INVESTMENT SERVICES CO.
Office #1: Hendrickson Building - Suite 207 P.o. Box 1728, Harlan, KY 40831RIA
BD
CRD#: 1037
Harlan, KY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ALEXANDER INVESTMENT SERVICES CO.
ALEXANDER INVESTMENT SERVICES CO.
CRD#: 1037 / SEC#: 801-10334, 8-12525
RIA
Registered Investment Advisory firm - SEC (11/7/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/12/2020)
RR
Florida(2/4/2010)
RR
Georgia(10/2/2003)
RR
Kentucky(1/1/1990)
IAR
Kentucky(4/19/2022)
RR
Michigan(10/5/2022)
RR
Ohio(11/6/2014)
RR
South Carolina(12/20/2022)
RR
Tennessee(12/18/1990)
RR
Texas(10/5/2022)
RR
Virginia(6/12/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ALEXANDER INVESTMENT SERVICES CO.
ALEXANDER INVESTMENT SERVICES CO.
CRD#: 1037 / SEC#: 801-10334, 8-12525
RIA
Registered Investment Advisory firm - SEC (11/7/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
909 Lily Creek Road #101, Louisville, KY 40243-2808
Mailing Address
909 Lily Creek Road #101, Louisville, KY 40243-2808
Phone number
(502) 459-4414
Established
Kentucky since 07/01/1965
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
13
SEC notice filing (13 States and Territories)
FINRA licenses (21 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,304 |
| AUM (Assets Under Management) | $ 579,016,663 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 01/23/2025 | ||
| 10/26/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
