Tracy Lyn Gallman
Professional Summary
Tracy Lyn Gallman, who also goes by Tracy Lyn Ellson, Tracy Ellson, is a registered financial advisor currently at AXOS INVEST, INC located in Las Vegas, Nevada and AXOS INVEST LLC located in San Diego, California. Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Tracy has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tracy Lyn Ellson, Tracy Ellson
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
Contact Information
Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148Phone Number
(858) 376-6055# of Employees
13SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
6,794AUM (Assets Under Management)
$150,762,519Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/09/2026 | Cover Page | Report |
| 10/17/2025 | Cover Page | Report |
| 01/21/2025 | Cover Page | Report |
| 03/04/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1997About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2020About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Tracy Lyn Gallman's CRS (Customer Relationship Summary).
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