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Ancil Collett
ALEXANDER INVESTMENT SERVICES CO.
CORBIN, KY 40701
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CRD#: 4355109
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Professional summary
Ancil Collett is a registered financial advisor currently at ALEXANDER INVESTMENT SERVICES CO. located in Corbin, Kentucky.
Ancil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ancil has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
INDEPENDENT CERTIFIED PUBLIC ACCOUNTANT. SELF-EMPLOYED. NON-INVESTMENT RELATED. WORK FULL-TIME 160+ HOURS PER MONTH, MOSTLY DURING TRADING HOURS.
HIGHLAND CEMETERY, INC. DIRECTOR. NON-INVESTMENT RELATED. VOLUNTEER POSITION, NO COMPENSATION. OPERATE LESS THAN 2 HOURS PER MONTH OUTSIDE OF TRADING HOURS.
FIRST BAPTIST CHURCH (WILLIAMSBURG KY). TREASURER. NON-INVESTMENT RELATED. VOLUNTEER POSITION HELD SINCE 1994, NO COMPENSATION. OPERATE 8 HOURS PER MONTH, MOSTLY OUTSIDE OF TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Ancil Collett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ancil Collett'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 8, 2017 - Present
ALEXANDER INVESTMENT SERVICES CO.
Office #1: 209 S Main St, Corbin, KY 40701RIA
BD
CRD#: 1037
CORBIN, KY
Current
February 10, 2006 - Present
ALEXANDER INVESTMENT SERVICES CO.
Office #1: Hendrickson Building - Suite 207 P.o. Box 1728, Harlan, KY 40831RIA
BD
CRD#: 1037
Harlan, KY
Past
March 31, 2003 - January 26, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CORBIN, KY
Past
February 26, 2001 - April 2, 2003
UNIFIED FINANCIAL SECURITIES, LLC
BD
CRD#: 7868
INDIANAPOLIS, IN
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
Florida(7/28/2015)
RR
Georgia(1/17/2007)
RR
Indiana(1/30/2008)
RR
Kentucky(2/10/2006)
IAR
Kentucky(8/8/2017)
RR
Tennessee(2/10/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
ALEXANDER INVESTMENT SERVICES CO.
CRD#: 1037Corbin, KY 40701TRUST BUT VERIFY
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