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FM

Fotios N. Mitsos

AMS BROKERAGE SERVICES LLC
BATON ROUGE, LA 70806
Some features on this profile are disabled
CRD#: 4171494
FM

Professional summary

Fotios N Mitsos, who also goes by Fotios N. Mitsos, Frank Mitsos, is a registered financial professional currently at AMS BROKERAGE SERVICES LLC located in Baton Rouge, Louisiana.

Fotios is registered as a RR (Registered Representative) and started their career in finance in 2000. Fotios has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Fotios N. Mitsos | Frank Mitsos

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 - 11/1/2024 - 1700 City Farm Drive, Suite B, Baton Rouge, LA 70806 - Internal Wholesaler, Wholesaler for annuities, Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Fotios N Mitsos'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

January 29, 2025 - August 25, 2025

TLG ADVISORS, INC.

RIA
CRD#: 111052
Baton Rouge, LA
Past

January 22, 2025 - August 25, 2025

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

April 28, 2008 - October 14, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
CHARLOTTE, NC
Past

March 11, 2008 - October 14, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHARLOTTE, NC
Past

May 18, 2000 - February 20, 2008

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
CHARLOTTE, NC

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
North Carolina
(10/3/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/25/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/13/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/17/2000
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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