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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

JOSEPH A. GALLAGHER

Advisor at AXIENT INVESTMENT ADVISORS LLC

Florence, AL | HUNTSVILLE, AL

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Search this name across graphsid dfx:ria:74a330c6-df2d-4deb-ae79-faa24470f280

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 25, 2003 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: AXIENT INVESTMENT ADVISORS LLC
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: Aug 22, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 22, 2003
First registration: Aug 25, 2003
Dual registered: yes, broker-dealer
Other names: JOSEPH A. GALLAGHER
IAPD individual key: 4676228

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
AXIENT INVESTMENT ADVISORS LLC	Independent wealth	Feb 12, 2026	n/a	yes	Florence, AL\|HUNTSVILLE, AL	Current employment
STONEX ADVISORS INC.	Bd affiliated wealth	Jun 30, 2016	Feb 13, 2026	no	Florence, AL\|BIRMINGHAM, AL\|Florence, AL\|FLORENCE, AL	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	May 21, 2014	Jun 30, 2016	no	FLORENCE, AL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	May 22, 2014	no	FLORENCE, AL	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Aug 25, 2003	Jan 1, 2008	no	FLORENCE, AL\|FLORENCE, AL\|ST. LOUIS, MO	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
STONEX ADVISORS INC.	AXIENT INVESTMENT ADVISORS LLC	Feb 13, 2026	Feb 12, 2026	-1	Firm change	Ibd to new firm
STERNE AGEE ASSET MANAGEMENT, INC.	STONEX ADVISORS INC.	Jun 30, 2016	Jun 30, 2016	0	Bulk transfer	Other
WELLS FARGO ADVISORS	STERNE AGEE ASSET MANAGEMENT, INC.	May 22, 2014	May 21, 2014	-1	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
174182:336722:AL:2026-02-10	Feb 13, 2026	Feb 12, 2026	FLORENCE, AL	Firm change

Relationships

Registered with (5)

→ AXIENT INVESTMENT ADVISORS LLCRegistered adviserregistration: current employment
Feb 12, 2026 to presentfactForm ADV
→ STONEX ADVISORS INC.Registered adviserregistration: previous registration
Jun 30, 2016 to Feb 13, 2026factForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
May 21, 2014 to Jun 30, 2016factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to May 22, 2014factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Aug 25, 2003 to Jan 1, 2008factForm ADV

Dated events

Occurred
Feb 13, 2026
Advisor changed firm
Joseph A. Gallagher left Stonex Advisors Inc. for Axient Investment Advisors Llc (registered 2026-02-12)
Form ADVobserved 5 days ago