TB
Tracy L. Baggerly
AMERICAN INDEPENDENT SECURITIES GROUP
Eagle, ID 83616
Some features on this profile are disabled
CRD#: 3195686
TB
Professional summary
Tracy Lee Baggerly is a registered financial advisor currently at AMERICAN INDEPENDENT SECURITIES GROUP, LLC located in Eagle, Idaho.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Tracy has worked at 3 firms and has passed the Series 66, Series 63, Series 6TO, Series 22TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. Progressive Wealth Management; Investment related, 664 S Rivershore Ln Eagle, ID 83616, INVESTMENTS & BROKERAGE SERVICES; INDEPENDENT INSURANCE AGENT FOR FIXED & VARIABLE LIFE, LTC, DISABILITY, FIXED ANNUITIES. Employee; Officer; Director or Partner; Owner or Shareholder; Agent or Representative, 40 hours/ week devoted to this business, all of which will be during trading hours. 7/15/2022, DBA for securities and insurance business. 2.Tracy Baggerly Inc, Investment Related, 664 S Rivershore Ln Eagle, Id 83616, Independent Insurance Agent, Employee; Officer; Director or Partner; Owner or Shareholder; Agent or Representative as of 7/15/22, 40 hours/ week devoted to this business, all of which will be during trading hours. Life Insurance/Disabilty/LTC. 3. Eagle Assisted Growth and Learning Environment Inc, not investment related, 664 S Rivershore Lane #150 Eagle, Id 83616, 501c3 established for cash donations for the Eagle Rodeo, Director or Partner as of 1/1/2001, 1 hours/week, none of which are during trading hours. we file annual necessary paperwork and any taxes as necessary. 4.Eagle Rodeo; Not investment related, 664 S Rivershore Lane #150 Eagle, Id 83616, Eagle Rodeo 501c4/ Charity or Non-Profit Organization. Director or Partner as of 1/1/2001, 1 hour / week with none spent during trading hours. Operations conducted in office, event activities conducted at Eagle Rodeo grounds. No compensation of any kind, dual signatures on checks. 5.BTB LLC; not investment related, 664 S Rivershore Lane #150 Eagle, Id 83616, Real-estate Holding Co for Proletariat Wine Company. Officer; Owner or Shareholder as of 6/1/2015, 0 hours/week, none of which are during trading hours. it is simply a holding company for our real estate of Proletariat Wine Company. 6.PROLETARIAT WINE COMPANY- NOT INVESTMENT RELATED. 664 S Rivershore Lane #150 Eagle, Id 83616, 21% OWNER with wife as of 6/1/2015, OF WINE MAKING AND DISTRIBUTION COMPANY. 0 hours/week, none of which are during trading hours. not currently receiving distribution, but have potential at owners discretion to make div/profit sharing distribution when profits allow. No Activity for Tracy Baggerly at this time.
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Lee Baggerly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tracy Lee Baggerly'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 10, 2007 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #1: 664 S Rivershore Ln Suite 150, Eagle, ID 83616RIA
BD
CRD#: 135288
Eagle, ID
Current
November 1, 2005 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #1: 664 S Rivershore Ln Suite 150, Eagle, ID 83616RIA
BD
CRD#: 135288
Eagle, ID
Past
April 28, 2003 - November 1, 2005
FIRST HEARTLAND CAPITAL, INC.
BD
CRD#: 32460
LAKE ST. LOUIS, MO
Past
May 4, 1999 - May 1, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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
Alabama(5/10/2023)
RR
Alaska(4/19/2010)
RR
Arizona(10/2/2014)
RR
California(4/10/2007)
RR
Colorado(1/7/2015)
RR
Florida(11/4/2010)
RR
Hawaii(7/7/2020)
RR
Idaho(11/1/2005)
IAR
Idaho(4/10/2007)
RR
Minnesota(11/22/2016)
RR
Montana(10/2/2014)
RR
Nevada(5/1/2024)
RR
New York(2/17/2017)
IAR
New York(3/30/2021)
RR
North Carolina(7/16/2025)
RR
Oregon(11/1/2005)
RR
South Dakota(7/28/2025)
RR
Tennessee(9/3/2024)
RR
Texas(4/30/2018)
RR
Virginia(8/2/2021)
RR
Washington(11/1/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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
664 S Rivershore Lane Suite 150, Eagle, ID 83616
Mailing Address
Po Box 579, Eagle, ID 83616
Phone number
(208) 489-3131
Established
Idaho since 12/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (49 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,987 |
| AUM (Assets Under Management) | $ 604,888,609 |
Disclosures
| Regulatory Event | 1 |
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.
