TG
Tracy L. Gallman
AXOS INVEST,
Las Vegas, NV 89148
Some features on this profile are disabled
CRD#: 2814720
TG
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 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracy Lyn Ellson | Tracy Ellson
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.
Axos Bank - Role, Supervise Premier Banking and Lending - Begining 2/2023 - Non-Investment Related - 80 Hours Per Month
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Lyn Gallman'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 7, 2021 - Present
AXOS INVEST, INC
Office #1: 9205 W Russell Road Suite 400, Las Vegas, NV 89148RIA
CRD#: 150953
Las Vegas, NV
Current
July 6, 2021 - Present
AXOS INVEST LLC
Office #1: 4350 La Jolla Village Drive, San Diego, CA 92122BD
CRD#: 172393
San Diego, CA
Past
November 3, 2016 - June 7, 2021
PFS INVESTMENTS INC.
RIA
CRD#: 10111
DULUTH, GA
Past
November 3, 2016 - June 7, 2021
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
December 13, 2014 - November 3, 2016
MEEDER DISTRIBUTION SERVICES, INC.
BD
CRD#: 36773
DUBLIN, OH
Past
July 5, 2013 - November 10, 2014
CAPITAL ADVISORS, INC.
RIA
CRD#: 104643
POWAY, CA
Past
May 19, 2003 - March 11, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
May 19, 2003 - March 11, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
April 8, 2002 - April 14, 2003
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
SAN FRANCISCO, CA
Past
January 23, 2002 - April 14, 2003
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
April 25, 1997 - January 7, 2002
NICHOLAS-APPLEGATE SECURITIES LLC
BD
CRD#: 31205
SAN DIEGO, CA
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".
AI
AXOS INVEST, INC
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
CRD#: 150953 / SEC#: 801-79951
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)California
Registered Investment Advisory firm - (8/13/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/28/2014 Terminated)Delaware
Registered Investment Advisory firm - (7/14/2014 Terminated)District of Columbia
Registered Investment Advisory firm - (7/14/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/14/2014 Terminated)Louisiana
Registered Investment Advisory firm - (8/1/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/21/2014 Terminated)Nevada
Registered Investment Advisory firm - (8/18/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)New York
Registered Investment Advisory firm - (7/14/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/28/2014 Terminated)Rhode Island
Registered Investment Advisory firm - (7/14/2014 Terminated)South Carolina
Registered Investment Advisory firm - (7/14/2014 Terminated)Texas
Registered Investment Advisory firm - (7/14/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/14/2014 Terminated)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
Alabama(2/6/2023)
RR
Alaska(2/6/2023)
RR
Arizona(2/6/2023)
RR
Arkansas(2/6/2023)
RR
California(7/7/2021)
IAR
California(7/7/2021)
RR
Colorado(2/6/2023)
RR
Connecticut(2/6/2023)
RR
Delaware(2/6/2023)
RR
District of Columbia(2/6/2023)
RR
Florida(2/6/2023)
RR
Georgia(2/6/2023)
RR
Hawaii(2/6/2023)
RR
Idaho(2/6/2023)
RR
Illinois(2/6/2023)
RR
Indiana(2/6/2023)
RR
Iowa(2/6/2023)
RR
Kansas(2/6/2023)
RR
Kentucky(2/6/2023)
RR
Louisiana(2/6/2023)
RR
Maine(2/6/2023)
RR
Maryland(2/6/2023)
RR
Massachusetts(2/6/2023)
RR
Michigan(2/6/2023)
RR
Minnesota(2/6/2023)
RR
Mississippi(2/6/2023)
RR
Missouri(2/6/2023)
RR
Montana(2/6/2023)
RR
Nebraska(2/6/2023)
RR
Nevada(2/6/2023)
IAR
Nevada(3/9/2023)
RR
New Hampshire(2/6/2023)
RR
New Jersey(2/6/2023)
RR
New Mexico(2/6/2023)
RR
New York(11/16/2022)
RR
North Carolina(2/6/2023)
RR
North Dakota(2/6/2023)
RR
Ohio(2/6/2023)
RR
Oklahoma(2/6/2023)
RR
Oregon(2/6/2023)
RR
Pennsylvania(2/6/2023)
RR
Rhode Island(2/6/2023)
RR
South Carolina(2/6/2023)
RR
South Dakota(2/6/2023)
RR
Tennessee(2/6/2023)
RR
Texas(2/6/2023)
IAR
Texas(2/6/2023)
RR
Utah(2/6/2023)
RR
Vermont(2/6/2023)
RR
Virginia(2/6/2023)
RR
Washington(2/6/2023)
RR
West Virginia(2/6/2023)
RR
Wisconsin(2/6/2023)
RR
Wyoming(2/6/2023)
Exams
State Security Law Exam
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
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AXOS INVEST, INC
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
CRD#: 150953 / SEC#: 801-79951
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)California
Registered Investment Advisory firm - (8/13/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/28/2014 Terminated)Delaware
Registered Investment Advisory firm - (7/14/2014 Terminated)District of Columbia
Registered Investment Advisory firm - (7/14/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/14/2014 Terminated)Louisiana
Registered Investment Advisory firm - (8/1/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/21/2014 Terminated)Nevada
Registered Investment Advisory firm - (8/18/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)New York
Registered Investment Advisory firm - (7/14/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/28/2014 Terminated)Rhode Island
Registered Investment Advisory firm - (7/14/2014 Terminated)South Carolina
Registered Investment Advisory firm - (7/14/2014 Terminated)Texas
Registered Investment Advisory firm - (7/14/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/14/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Mailing Address
Phone number
(858) 376-6055
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,625 |
| AUM (Assets Under Management) | $ 146,996,118 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/17/2025 | ||
| 01/21/2025 | ||
| 03/04/2024 | ||
| 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.
