William O. Brooks

ALEXANDER INVESTMENT SERVICES CO.

Louisville, KY 40243

Some features on this profile are disabled

CRD#: 710238

Professional summary

William Oliver Brooks is a registered financial professional currently at ALEXANDER INVESTMENT SERVICES CO. located in Louisville, Kentucky.

William is registered as a RR (Registered Representative) and started their career in finance in 1980. William has worked at 3 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Oliver Brooks's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 13, 1982 - Present

ALEXANDER INVESTMENT SERVICES CO.

Office #1: 909 Lily Creek Road #101, Louisville, KY 40243

RIA

CRD#: 1037

Louisville, KY

Past

January 19, 1981 - December 15, 1981

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

June 24, 1980 - February 8, 1981

N.I.S. FINANCIAL SERVICES, INC.

CRD#: 5361

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.

CRD#: 1037 / SEC#: 801-10334, 8-12525

RIA

Registered Investment Advisory firm - SEC (11/7/1974 Approved)

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.

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

Indiana
(2/12/1982)

Kentucky
(1/1/1990)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/14/1980

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

ALEXANDER INVESTMENT SERVICES CO.

CRD#: 1037 / SEC#: 801-10334, 8-12525

RIA

Registered Investment Advisory firm - SEC (11/7/1974 Approved)

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

SEC notice filing (13 States and Territories)

FINRA licenses (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ALEXANDER INVESTMENT SERVICES ADV BROCHURE 06-30-2025 (9/2/2025)

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
WELLS, GERALD ANDREW	OWNER, PRINCIPAL, DIRECTOR	729663
WILSON, THOMAS CRAIG	OWNER	1356727
MEEK, ROBERT ALLEN	CHIEF COMPLIANCE OFFICER	6890033

Regulatory assets under management

Total Number of Accounts	1,304
AUM (Assets Under Management)	$ 579,016,663

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/29/2025	Cover Page	Report
01/23/2025	Cover Page	Report
10/26/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

Similar Advisors

Trystan Downey

CERITY PARTNERS LLC

IAR

LOUISVILLE, KY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William O. Brooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Oliver Brooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

N.I.S. FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ALEXANDER INVESTMENT SERVICES CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/2/1984

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1984

Series 1

Date: 6/14/1980

FINRA

Current Firm

ALEXANDER INVESTMENT SERVICES CO.

Contact information

SEC notice filing (13 States and Territories)

FINRA licenses (21 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ALEXANDER INVESTMENT SERVICES CO.

TRUST BUT VERIFY

Similar Advisors