GW
Gerald A. Wells
ALEXANDER INVESTMENT SERVICES CO.
Louisville, KY 40243
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CRD#: 729663
GW
Professional summary
Gerald Andrew Wells, who also goes by Rusty Wells, is a registered financial advisor currently at ALEXANDER INVESTMENT SERVICES CO. located in Louisville, Kentucky.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Gerald has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rusty Wells
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.
ALEXA ENTERPRISES owns and operates a Papa John's Pizza franchise. Not securities-related. Shareholder & Director. No significant amount of time regularly devoted to this activity. CITIZENS FINANCIAL CORP is a holding company that offers health insurance through a subsidiary company (CITIZENS SECURITY LIFE INSURANCE COMPANY). Not securities-related. Director. Time commitment is about 8 hours per month during Trading Hours. MIDLAND TRAIL GOLF CLUB is a privately owned 18-hole golf course open both to members and the general public. Not securities-related. Ownership interest and Director. No significant amount of time regularly devoted to this activity. MILLENNIUM CAPITAL, CROYDON VENTURES, and WMW HOLDINGS are all limited liability partnerships engaged in real estate development and property rental. None are securities-related. Partner in all three ventures. WILLIAMSBURG PLACE, LLC owned and operated a single commercial office building that was sold in 2022. Not securities-related. Managing Partner. LYNDON CENTER, LLC owned a retail shopping center property that was sold in April 2023. Not securities-related. Managing Partner. ROY'S BOYS, LLC is a real estate investment company that owns a single commercial office building. Not securities-related. Property Manager. INDEPENDENCE VILLAGE, LLC is a high-density residential housing development (apartment complex) with approximately 90 units. Not securities-related. Minority Shareholder. Total time commitment for all real estate related activities is about 60 hours per month, mostly during Trading Hours.
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Andrew Wells's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gerald Andrew Wells'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
April 19, 2022 - Present
ALEXANDER INVESTMENT SERVICES CO.
Office #1: 909 Lily Creek Road #101, Louisville, KY 40243RIA
BD
CRD#: 1037
Louisville, KY
Current
April 27, 1983 - Present
ALEXANDER INVESTMENT SERVICES CO.
Office #1: 909 Lily Creek Road #101, Louisville, KY 40243RIA
BD
CRD#: 1037
Louisville, KY
Past
March 23, 1981 - April 5, 1983
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
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
Kentucky(1/1/1990)
IAR
Kentucky(4/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product 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
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
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Contact information
xxxxx@xxxx.xxx
