Thomas R. Clark
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Richard Clark was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2017 - January 16, 2026
ALEXANDER INVESTMENT SERVICES CO.
July 10, 1998 - January 16, 2026
ALEXANDER INVESTMENT SERVICES CO.
Primary Firm SEC Registration
ALEXANDER INVESTMENT SERVICES CO.
CRD#: 1037 / SEC#: 801-10334, 8-12525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALEXANDER INVESTMENT SERVICES CO.
CRD#: 1037 / SEC#: 801-10334, 8-12525
Contact information
SEC notice filing (13 States and Territories)
FINRA licenses (21 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANLEIN, LEO ANDREW | OWNER, PRINCIPAL, DIRECTOR, PRESIDENT | 2369588 |
| FOX, RICHARD LYNN | OWNER, PRINCIPAL, DIRECTOR, VICE-PRESIDENT | 1238021 |
| HANLEIN, MICHAEL ANDREW | OWNER, PRINCIPAL, DIRECTOR, FINANCIAL PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL | 6677516 |
| STILLWAGON, JOHN BRADLEY | OWNER | 2431428 |
| WILSON, THOMAS CRAIG | OWNER, MUNICIPAL SECURITIES PRINCIPAL | 1356727 |
| ADAMS, DREW STEPHENSON | OWNER, PRINCIPAL, DIRECTOR | 5181929 |
| MEEK, ROBERT ALLEN | PRINCIPAL, CHIEF COMPLIANCE OFFICER | 6890033 |
Regulatory assets under management
| Total Number of Accounts | 1,250 |
| AUM (Assets Under Management) | $ 496,269,176 |
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 |
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.
