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DK

David M. Kingsley

AMS BROKERAGE SERVICES LLC
BATON ROUGE, LA 70806
Some features on this profile are disabled
CRD#: 1744429
DK

Professional summary

David Maitland Kingsley is a registered financial advisor currently at AMS BROKERAGE SERVICES LLC located in Baton Rouge, Louisiana.

David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 15 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Maitland Kingsley'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®
None

Experience

Current

September 4, 2025 - Present

AMS BROKERAGE SERVICES LLC

Office #1: 1700 City Farm Drive Suite B, Baton Rouge, LA 70806
BD
CRD#: 335083
BATON ROUGE, LA
Past

September 20, 2024 - April 4, 2025

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
Temecula, CA
Past

September 10, 2019 - July 26, 2024

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

February 22, 2010 - August 18, 2011

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
MURRIETA, CA
Past

February 19, 2010 - August 18, 2011

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
MURRIETA, CA
Past

April 24, 2009 - February 12, 2010

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
TEMECULA, CA
Past

April 24, 2009 - February 12, 2010

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
TEMECULA, CA
Past

September 5, 2008 - April 6, 2009

U.S. BANCORP ADVISORS, LLC

RIA
CRD#: 14455
SAN DIEGO, CA
Past

August 28, 2008 - September 2, 2008

U.S. BANCORP ADVISORS, LLC

RIA
CRD#: 14455
SAN DIEGO, CA
Past

August 27, 2008 - April 6, 2009

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
SAN DIEGO, CA
Past

April 12, 2004 - August 28, 2008

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

June 12, 2001 - April 15, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

April 30, 1999 - May 2, 2001

TALBOT FINANCIAL SERVICES, INC.

BD
CRD#: 46345
ALBUQUERQUE, NM
Past

January 1, 1999 - March 10, 1999

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

October 27, 1998 - January 1, 1999

GRIFFIN FINANCIAL SERVICES

BD
CRD#: 10823
Past

June 9, 1997 - September 30, 1998

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

February 5, 1997 - April 4, 1997

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN
Past

April 11, 1995 - October 11, 1996

BA INVESTMENT SERVICES, INC.

BD
CRD#: 12965
OAKLAND, CA
Past

November 19, 1993 - May 11, 1994

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

April 24, 1992 - November 19, 1993

MARKETING ONE SECURITIES, INC.

BD
CRD#: 16611
PORTLAND, OR
Past

October 16, 1987 - April 30, 1992

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/19/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 9/10/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/16/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/14/1987
Investment Company Products/Variable Contracts Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ANNUITY MARKETING SERVICESOWNER
ANDERSON, STEPHEN FRANCISCCO1181095
DUFFY, SHAWNPRESIDENT/CEO1529626
FAWLEY, DANIEL PDIRECTOR7183078
MARANTO, MICHAEL ADIRECTOR5722270
WAGSTAFF, CONNER FRED IIIFINOP1427591

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 70806

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