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ES

Eric W. Slugantz

AMS BROKERAGE SERVICES LLC
BATON ROUGE, LA 70806
Some features on this profile are disabled
CRD#: 5356599
ES

Professional summary

Eric Wayne Slugantz is a registered financial professional currently at AMS BROKERAGE SERVICES LLC located in Baton Rouge, Louisiana.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2007. Eric has worked at 7 firms and has passed the Series 63, 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 Eric Wayne Slugantz'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 26, 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

May 1, 2015 - May 30, 2025

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

October 10, 2014 - April 27, 2015

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
BATON ROUGE, LA
Past

February 29, 2012 - December 17, 2013

NAVIAN CAPITAL SECURITIES LLC

BD
CRD#: 145037
CINCINNATI, OH
Past

September 14, 2009 - February 17, 2012

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
HARRISON, OH
Past

January 23, 2008 - April 6, 2009

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

BD
CRD#: 144464
CINCINNATI, OH
Past

September 6, 2007 - January 11, 2008

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
CINCINNATI, OH

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
Louisiana
(9/29/2025)
RR
Tennessee
(10/29/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/5/2009
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: 10/8/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/5/2007
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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