MH
Michael A. Hanlein
ALEXANDER INVESTMENT SERVICES CO.
Louisville, KY 40243
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CRD#: 6677516
MH
Professional summary
Michael Andrew Hanlein, who also goes by Mike Hanlein, is a registered financial advisor currently at ALEXANDER INVESTMENT SERVICES CO. located in Louisville, Kentucky.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 1 firm and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Hanlein
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 Michael Andrew Hanlein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Andrew Hanlein'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
July 27, 2017 - Present
ALEXANDER INVESTMENT SERVICES CO.
Office #1: 909 Lily Creek Road #101, Louisville, KY 40243RIA
BD
CRD#: 1037
Louisville, KY
Current
July 25, 2016 - Present
ALEXANDER INVESTMENT SERVICES CO.
Office #1: 909 Lily Creek Road #101, Louisville, KY 40243RIA
BD
CRD#: 1037
Louisville, 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
IAR
Indiana(4/5/2023)
RR
Kentucky(7/27/2017)
IAR
Kentucky(7/27/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/17/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
12
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.
Company Information
ALEXANDER INVESTMENT SERVICES CO.
CRD#: 1037Louisville, KY 40243TRUST BUT VERIFY
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