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SD

Shawn Duffy

CFP®

AMS BROKERAGE SERVICES

Baton Rouge, LA

·CRD# 1529626·40 years experience

Professional Summary

Shawn Duffy, CFP®, who also goes by Shawn Michael Duffy, is a registered financial advisor currently at AMS BROKERAGE SERVICES LLC located in Baton Rouge, Louisiana. Shawn is registered as a RR (Registered Representative) and started their career in finance in 1986. Shawn has worked at 6 firms and has passed the Series 63, Series 99TO, Series 6TO, SIE, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Shawn Michael Duffy

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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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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Credentials

CFP®

Certified Financial PlannerSince 1991

Years of Experience

40 years in the financial services industry

Current & Past Employments

AMS BROKERAGE SERVICES LLC·CRD# 335083

BD

1700 City Farm Drive Suite B, Baton Rouge, LA 70806

July 9, 2025 - Present

THE LEADERS GROUP, INC.·CRD# 37157

BD

Summit, NJ

June 23, 2023 - May 30, 2025

ALLSTATE FINANCIAL ADVISORS, LLC·CRD# 109524

RIA

Santa Ana, CA

December 15, 2021 - May 18, 2023

ALLSTATE FINANCIAL SERVICES, LLC·CRD# 18272

BD

Santa Ana, CA

December 15, 2021 - May 18, 2023

VALIC FINANCIAL ADVISORS, INC.·CRD# 42803

RIA

Houston, TX

February 5, 2016 - August 7, 2020

VALIC FINANCIAL ADVISORS, INC.·CRD# 42803

BD

Houston, TX

July 19, 2000 - August 7, 2020

GRIFFIN FINANCIAL SERVICES·CRD# 10823

BD

August 19, 1986 - December 3, 1998

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Current Firm

AB

AMS BROKERAGE SERVICES LLC

AMS BROKERAGE SERVICES LLC

CRD#: 335083 / SEC#: 8-71341

BD

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Contact Information

Main Address

1700 City Farm Drive Suite B, Baton Rouge, LA 70806

Mailing Address

1700 City Farm Drive Suite B, Baton Rouge, LA 70806

Phone Number

(832) 622-3905

Established

Delaware since 01/29/2025

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
ANNUITY MARKETING SERVICES	OWNER	—
ANDERSON, STEPHEN FRANCIS	CCO	1181095
DUFFY, SHAWN	PRESIDENT/CEO	1529626
FAWLEY, DANIEL P	DIRECTOR	7183078
MARANTO, MICHAEL A	DIRECTOR	5722270
WAGSTAFF, CONNER FRED III	FINOP	1427591

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

I OWN RENTAL PROPERTIES POSITION: Owner of rental properties NATURE: I own four rental properties. Two of them are owned 50/50 with my brother. 1. 18 Logo Vista, Dana Point, CA. 926292. 34113 Calle la Primavera, Dana Point, CA 926293. 23374 El Reposa, Aliso Viejo, CA 92656 (50% ownership)4. 32552 Alipaz, San Juan Capistrano, CA 92675 (50% ownership) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2009 ADDRESS: 114 Gateway Park Place, The Woodlands TX 77380, United States DESCRIPTION: My duties are de minimis. We have a management company that does virtually all of the work. CEO COACHING INTERNATIONAL POSITION: Coach/Partner NATURE: I serve as an executive coach - currently for two clients. I provide business and executive guidance. INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2021 ADDRESS: 114 Gateway Park Place, The Woodlands TX 77380, United States DESCRIPTION: I provide business and executive coaching.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(11/3/2025)

RR

Alaska
(9/2/2025)

RR

Arizona
(11/24/2025)

RR

Arkansas
(1/14/2026)

RR

California
(9/29/2025)

RR

Colorado
(11/6/2025)

RR

Connecticut
(11/19/2025)

RR

Delaware
(10/9/2025)

RR

District of Columbia
(4/17/2026)

RR

Florida
(12/18/2025)

RR

Georgia
(9/30/2025)

RR

Hawaii
(10/1/2025)

RR

Idaho
(9/29/2025)

RR

Illinois
(11/3/2025)

RR

Indiana
(12/22/2025)

RR

Iowa
(8/5/2025)

RR

Kansas
(9/29/2025)

RR

Kentucky
(9/30/2025)

RR

Louisiana
(9/29/2025)

RR

Maine
(11/4/2025)

RR

Maryland
(10/23/2025)

RR

Massachusetts
(1/2/2026)

RR

Michigan
(11/10/2025)

RR

Minnesota
(11/24/2025)

RR

Mississippi
(8/5/2025)

RR

Missouri
(11/26/2025)

RR

Montana
(11/5/2025)

RR

Nebraska
(10/8/2025)

RR

Nevada
(10/28/2025)

RR

New Hampshire
(11/18/2025)

RR

New Jersey
(10/10/2025)

RR

New Mexico
(10/17/2025)

RR

New York
(11/5/2025)

RR

North Carolina
(10/3/2025)

RR

North Dakota
(11/3/2025)

RR

Ohio
(10/27/2025)

RR

Oklahoma
(9/29/2025)

RR

Oregon
(10/9/2025)

RR

Pennsylvania
(10/24/2025)

RR

Rhode Island
(11/5/2025)

RR

South Carolina
(11/5/2025)

RR

South Dakota
(11/4/2025)

RR

Tennessee
(10/29/2025)

RR

Texas
(12/11/2025)

RR

Utah
(8/5/2025)

RR

Vermont
(11/3/2025)

RR

Virginia
(11/3/2025)

RR

Washington
(11/3/2025)

RR

West Virginia
(11/6/2025)

RR

Wisconsin
(10/2/2025)

RR

Wyoming
(11/5/2025)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1986About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Sep 2025About the Series 99TO exam

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

Passed Jan 2023About the Series 6TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 1991About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Shawn Duffy's CRS (Customer Relationship Summary).

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SD

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