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CB

Cody Evan H. Bostian

AXOS INVEST
San Diego, CA 92122
Some features on this profile are disabled
CRD#: 8215321
CB
Cody Evan Heilpern BostianAXOS INVEST

Professional summary

Cody Evan Heilpern Bostian, who also goes by Cody Bostian, Cody Evan Bostian, is a registered financial professional currently at AXOS INVEST LLC located in San Diego, California.

Cody Evan is registered as a RR (Registered Representative) and started their career in finance in 2026. Cody Evan has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

Cody Bostian | Cody Evan Bostian

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cody Evan Heilpern Bostian's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 13, 2026 - Present

AXOS INVEST LLC

Office #1: 4350 La Jolla Village Drive, San Diego, CA 92122
BD
CRD#: 172393
San Diego, CA
Past

February 27, 2026 - June 16, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
San Diego, CA
Past

February 26, 2026 - June 16, 2026

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
San Diego, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(7/13/2026)
RR
Texas
(7/13/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/29/2025
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/26/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/5/2026
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AI
AXOS INVEST LLC
AXOS INVEST LLC | WISEBANYAN SECURITIES LLC

CRD#: 172393 / SEC#: , 8-69507

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Mailing Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Phone number
(858) 376-6055
Established
Delaware since 06/02/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AXOS SECURITIES, LLCSHAREHOLDER
GALLMAN, TRACY LYNMANAGING PRINCIPAL2814720
TSCHUDIN, DEREK MICHAELCHIEF COMPLIANCE OFFICER4684900
WALSH, DERRICKFINOP/PFO/POO/CFO5945902

Disclosures

Regulatory Event1

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.

Company Information

AXOS INVEST LLC

CRD#: 172393San Diego, CA 92122

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