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DA

Darryl K. Aube

AMS BROKERAGE SERVICES LLC
BATON ROUGE, LA 70806
Some features on this profile are disabled
CRD#: 3191883
DA

Professional summary

Darryl Keith Aube is a registered financial professional currently at AMS BROKERAGE SERVICES LLC located in Baton Rouge, Louisiana.

Darryl is registered as a RR (Registered Representative) and started their career in finance in 1999. Darryl has worked at 9 firms and has passed the Series 63, Series 65, SIE 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.
1.) ANNUITY MARKETING SERVICES - 5/1/2025 - 1700 City Farm Drive, Suite B, Baton Rouge, LA 70806 - Regional VP, Regional Sales, Not Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) TLG ADVISORS INC - 6/5/2025 - 475 Springfield Avenue, Summit, NJ 07901 - IAR Rep, Invt Rel, RA business, 0 hrs/mo; 0 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Darryl Keith Aube'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

August 5, 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

June 6, 2025 - August 25, 2025

TLG ADVISORS, INC.

RIA
CRD#: 111052
Baton Rouge, LA
Past

June 5, 2025 - August 25, 2025

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

November 12, 2024 - March 24, 2025

WORLD EQUITY GROUP, INC.

RIA
CRD#: 29087
Shelton, CT
Past

November 12, 2024 - March 24, 2025

WORLD EQUITY GROUP, INC.

BD
CRD#: 29087
SCHAUMBURG, IL
Past

June 23, 2023 - July 8, 2024

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

February 13, 2019 - June 16, 2023

TLG ADVISORS, INC.

RIA
CRD#: 111052
Baton Rouge, LA
Past

July 26, 2018 - February 11, 2019

TLG ADVISORS, INC.

RIA
CRD#: 111052
Baton Rouge, LA
Past

July 19, 2018 - June 16, 2023

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

March 20, 2006 - March 10, 2017

AST INVESTMENT SERVICES, INC.

RIA
CRD#: 108897
SHELTON, CT
Past

February 27, 2003 - March 24, 2004

AMERICAN SKANDIA ADVISORY SERVICES, INC.

RIA
CRD#: 109211
SHELTON, CT
Past

March 29, 2000 - March 10, 2017

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

April 5, 1999 - February 1, 2000

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT

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: 7/10/2002
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/30/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/2/1999
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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