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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Tracy Lyn Gallman

Advisor at AXOS INVEST, INC

LAS VEGAS, NV

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Search this name across graphsid dfx:ria:4f23a2aa-2ef6-2124-6cd4-212e978d33cf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 8, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AXOS INVEST, INC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 10, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Jan 10, 1997
First registration: Apr 8, 2002
Dual registered: yes, broker-dealer
Other names: TRACY ELLSON|TRACY LYN ELLSON
IAPD individual key: 2814720

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
AXOS INVEST, INC	Independent wealth	Feb 6, 2023	n/a	yes	LAS VEGAS, NV	Current employment
PRIMERICA ADVISORS	National bd RIA	Nov 3, 2016	Jun 7, 2021	no	DULUTH, GA	Previous registration
CAPITAL ADVISORS, INC.	Former SEC adviser	Jul 5, 2013	Nov 10, 2014	no	POWAY, CA\|TULSA, OK	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 19, 2003	Mar 11, 2013	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Apr 8, 2002	Apr 14, 2003	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRIMERICA ADVISORS	AXOS INVEST, INC	Jun 7, 2021	Feb 6, 2023	609	Firm change after gap	Ibd to RIA
CAPITAL ADVISORS, INC.	PRIMERICA ADVISORS	Nov 10, 2014	Nov 3, 2016	724	Firm change after gap	Other
LPL FINANCIAL LLC	CAPITAL ADVISORS, INC.	Mar 11, 2013	Jul 5, 2013	116	Firm change	Other
RBC CAPITAL MARKETS, LLC	LPL FINANCIAL LLC	Apr 14, 2003	May 19, 2003	35	Firm change	Other

Relationships

Registered with (5)

→ AXOS INVEST, INCRegistered adviserregistration: current employment
Feb 6, 2023 to presentfactForm ADV
→ PRIMERICA ADVISORSRegistered adviserregistration: previous registration
Nov 3, 2016 to Jun 7, 2021factForm ADV
→ CAPITAL ADVISORS, INC.Registered adviserregistration: previous registration
Jul 5, 2013 to Nov 10, 2014factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 19, 2003 to Mar 11, 2013factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Apr 8, 2002 to Apr 14, 2003factForm ADV

Dated events

No dated event names this entity yet.