Unclaimed Profile

Tracy Lyn Gallman

AXOS INVEST, INC·LAS VEGAS, Nevada

SIE, Series 6, Series 7, Series 24, Series 26, Series 63, Series 65, Series 99TOClean record24 years registeredAXOS INVEST, INC

9205 W RUSSELL ROAD, LAS VEGAS, NV 89148CRD# 2814720Firm CRD# 150953

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Tracy Lyn Gallman · LAS VEGAS, NV

Registration

CRD #2814720 · AXOS INVEST, INC · 24 years registered

Brand Profile

Not yet started

Career History

AXOS INVEST, INC

Jul 2021 – present

AXOS INVEST LLC

Jul 2021 – present

PRIMERICA ADVISORS

Nov 2016 – Jun 2021

DULUTH, GA

CAPITAL ADVISORS, INC.

Jul 2013 – Nov 2014

POWAY, CA

LPL FINANCIAL LLC

May 2003 – Mar 2013

SAN DIEGO, CA

RBC DAIN RAUSCHER INC.

Apr 2002 – Apr 2003

SAN FRANCISCO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 26

Series 63

Series 65

Series 99TO

Registration record

First registered · April 8, 2002

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

AXOS INVEST, INC

CRD 150953 · SEC 801-79951

AUM

$143M

Regulatory assets under management

Employees

18,834 client accounts

Services offered by AXOS INVEST, INC

Per Form ADV

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

View all advisors at AXOS INVEST, INC →

Introduction

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Frequently Asked Questions

What services does Tracy Lyn Gallman offer?

Tracy Lyn Gallman specializes in Investment Management. Contact their office in LAS VEGAS, Nevada for a consultation.

What are Tracy Lyn Gallman's credentials?

Tracy Lyn Gallman is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Tracy Lyn Gallman located?

Tracy Lyn Gallman is based in LAS VEGAS, Nevada, working with AXOS INVEST, INC. Their office serves clients in the LAS VEGAS metropolitan area and surrounding communities.

How does Tracy Lyn Gallman charge for services?

Tracy Lyn Gallman's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is AXOS INVEST, INC?

AXOS INVEST, INC has approximately 13 employees and manages $143M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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