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Tracy Lyn Gallman

Axos Invest, Inc.

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About Tracy Lyn Gallman

Tracy Gallman is a financial advisor with over 25 years of experience in the industry. Tracy has a broad range of experience in the financial services industry, having worked with firms such as LPL Financial, RBC Dain Rauscher, and PFS Investments. Tracy is currently registered with Axos Invest, Inc. Tracy provides financial and investment advisory services to individuals.

Firm Information

Tracy Gallman is currently registered with Axos Invest, Inc.. Axos Invest, Inc. is an investment advisor headquartered in LAS VEGAS, NV. The firm provides portfolio management for individuals. They have approximately $143 million in regulatory assets under management and advise 18,834 accounts. Axos Invest, Inc. is registered with the SEC and has a SEC Number of 801-79951.
Axos Invest, Inc.

9205 W RUSSELL ROAD

LAS VEGAS, NV 89148

$143.03M

Assets Under Management

Not reported

Total Clients

13

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Tracy Gallman’s Registration & Firm History

NV

02/06/2023 - Present

Axos Invest, Inc. (LAS VEGAS NV)

GA

11/03/2016 - 06/07/2021

PFS INVESTMENTS INC. (DULUTH GA)

OH

12/13/2014 - 11/03/2016

ADVISER DEALER SERVICES, INC. (DUBLIN OH)

CA

05/19/2003 - 03/11/2013

LPL FINANCIAL LLC (SAN DIEGO CA)

NY

01/23/2002 - 04/14/2003

RBC DAIN RAUSCHER INC. (NEW YORK NY)

CA

04/25/1997 - 01/07/2002

NICHOLAS-APPLEGATE SECURITIES (A CALIFORNIA LIMITED PARTNERSHIP) (SAN DIEGO CA)

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Licenses & Designations

IA

Issued 08/10/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/10/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/29/2022

Series 24 - General Securities Principal Examination

BC

Issued 01/03/2020

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/1999

Series 7 - General Securities Representative Examination

BC

Issued 04/15/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tracy Lyn Gallman.
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