JS
John B. Stillwagon
ALEXANDER INVESTMENT SERVICES CO.
Louisville, KY 40243
Some features on this profile are disabled
CRD#: 2431428
JS
Professional summary
John Bradley Stillwagon is a registered financial advisor currently at ALEXANDER INVESTMENT SERVICES CO. located in Louisville, Kentucky.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. John has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Bradley Stillwagon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Bradley Stillwagon'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
August 18, 2016 - Present
ALEXANDER INVESTMENT SERVICES CO.
Office #1: 909 Lily Creek Road #101, Louisville, KY 40243RIA
BD
CRD#: 1037
Louisville, KY
Current
April 4, 2012 - Present
ALEXANDER INVESTMENT SERVICES CO.
Office #1: 909 Lily Creek Road #101, Louisville, KY 40243RIA
BD
CRD#: 1037
Louisville, KY
Past
July 14, 1998 - March 23, 2012
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
LOS ANGELES, CA
Past
April 18, 1994 - April 16, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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(4/4/2012)
RR
Florida(4/4/2012)
IAR
Florida(10/6/2022)
RR
Georgia(5/5/2014)
IAR
Illinois(10/24/2022)
RR
Illinois(1/4/2023)
RR
Indiana(4/4/2012)
IAR
Indiana(10/5/2022)
RR
Kentucky(4/4/2012)
IAR
Kentucky(8/18/2016)
RR
North Carolina(4/4/2012)
RR
Ohio(4/4/2012)
RR
Pennsylvania(10/6/2022)
IAR
South Carolina(10/20/2022)
RR
South Carolina(12/20/2022)
RR
Tennessee(10/25/2022)
RR
Texas(10/5/2022)
RR
Virginia(2/22/2013)
IAR
Virginia(10/5/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
ALEXANDER INVESTMENT SERVICES CO.
CRD#: 1037Louisville, KY 40243TRUST BUT VERIFY
Monitor John Stillwagon
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
