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Tracy Lee Baggerly

AMERICAN INDEPENDENT SECURITIES GROUP
EAGLE, ID
·CRD# 3195686·27 years experience

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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

27 years in the financial services industry

Current & Past Employments

AMERICAN INDEPENDENT SECURITIES GROUP, LLC·CRD# 135288
RIA
BD
1. 664 S Rivershore Ln Suite 150, Eagle, ID 836162. New Braunfels, TX
April 10, 2007 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC·CRD# 135288
RIA
BD
664 S Rivershore Ln Suite 150, Eagle, ID 83616
November 1, 2005 - Present
FIRST HEARTLAND CAPITAL, INC.·CRD# 32460
BD
Lake St. Louis, MO
April 28, 2003 - November 1, 2005
EDWARD JONES·CRD# 250
BD
St. Louis, MO
May 4, 1999 - May 1, 2003

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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)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

49

SEC notice filing (49 States and Territories)

Registered to provide investment advisory services in 49 US states and territories.

FINRA licenses (50 States and Territories)

Registered to provide investment advisory services in 49 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

AISG ADV PART 2A _03-31-2026 (3/31/2026)

Direct owners and executive officers

NamePositionCRD#
CARLSON, RYAN SHANEMEMBER, CEO4209072
FAXON, REYHEENA MARIAPRINCIPAL, FINOP4219599
KERBEIN, SHEILA APRINCIPAL, CHIEF COMPLIANCE OFFICER5571772
THOMAS, JOSEPH ALLISON JRMUNICIPAL PRICIPAL,REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ,MEMBER1484206

Regulatory Assets Under Management

Total Number of Accounts

4,385

AUM (Assets Under Management)

$986,332,007

Disclosures

Regulatory Event

1

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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.

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.

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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)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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
Louisiana
(7/27/2026)
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
Pennsylvania
(9/28/2026)
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)

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 66 — Uniform Combined State Law Examination

Passed Mar 2007About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1999About the Series 63 exam

Series 6TO — Investment Company Products/Variable Contracts Representative Examination

Passed Jan 2023About the Series 6TO exam

Series 22TO — Direct Participation Programs Representative Examination

Passed Jan 2023About the Series 22TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1999About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Tracy Lee Baggerly's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Tracy Lee Baggerly's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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