SD
Shawn Duffy
AMS BROKERAGE SERVICES LLC
Baton Rouge, LA 70806
Some features on this profile are disabled
CRD#: 1529626
SD
Professional summary
Shawn Duffy, CFP®, who also goes by Shawn Michael Duffy, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Shawn Michael Duffy
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.
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.
CRS (Client Relationship Summary) - BD
Click below to view Shawn Duffy's 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®
CFP®
Start date: 1991
Experience
Current
July 9, 2025 - Present
AMS BROKERAGE SERVICES LLC
Office #1: 1700 City Farm Drive Suite B, Baton Rouge, LA 70806BD
CRD#: 335083
Baton Rouge, LA
Past
June 23, 2023 - May 30, 2025
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
December 15, 2021 - May 18, 2023
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Santa Ana, CA
Past
December 15, 2021 - May 18, 2023
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Santa Ana, CA
Past
February 5, 2016 - August 7, 2020
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
HOUSTON, TX
Past
July 19, 2000 - August 7, 2020
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
August 19, 1986 - December 3, 1998
GRIFFIN FINANCIAL SERVICES
BD
CRD#: 10823
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
Alabama(11/3/2025)
RR
Alaska(9/2/2025)
RR
California(9/29/2025)
RR
Colorado(11/6/2025)
RR
Delaware(10/9/2025)
RR
Georgia(9/30/2025)
RR
Hawaii(10/1/2025)
RR
Idaho(9/29/2025)
RR
Illinois(11/3/2025)
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
Michigan(11/10/2025)
RR
Mississippi(8/5/2025)
RR
Montana(11/5/2025)
RR
Nebraska(10/8/2025)
RR
Nevada(10/28/2025)
RR
New Jersey(10/10/2025)
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
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
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 9/10/2025
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
# of Employees
FINRA licenses (40 States and Territories)
Documents
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
AMS BROKERAGE SERVICES LLC
CRD#: 335083Baton Rouge, LA 70806TRUST BUT VERIFY
Monitor Shawn Duffy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
