Andrew L. Duckworth

PROSTATIS FINANCIAL ADVISORS GROUP

Baton Rouge, LA 70809

Some features on this profile are disabled

CRD#: 6312710

Professional summary

Andrew L Duckworth, who also goes by Andy Duckworth, Andrew Lindsey Duckworth, Andrew Duckworth, is a registered financial advisor currently at PROSTATIS FINANCIAL ADVISORS GROUP located in Baton Rouge, Louisiana.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Andrew has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andy Duckworth | Andrew Lindsey Duckworth | Andrew Duckworth

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.

ACTIVITY TYPE: 3 - SECOND JOB NAME OF ENTITY: JON FINE PRODUCTIONS POSITION: COMMENTATOR START DATE: 8/31/2018 ADDRESS: 11526 Sullivan Rd Baton Rouge, LA 70818 DETAILS: COLOR COMMENTARY FOR RADIO BROADCAST OF DENHAM SPRINGS HIGH SCHOOL FOOTBALL. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 12 HOURS DURING TRADING: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew L Duckworth's CRS (Customer Relationship Summary).

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

July 23, 2024 - Present

PROSTATIS FINANCIAL ADVISORS GROUP

Office #1: 9026 Jefferson Hwy Suite 401, Baton Rouge, LA 70809

RIA

CRD#: 132662

Baton Rouge, LA

Past

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(7/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/6/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/13/2014

General Securities Representative Examination

Current Firm

PROSTATIS FINANCIAL ADVISORS GROUP

CRD#: 132662 / SEC#: 801-112501

RIA

Registered Investment Advisory firm - (2/23/2018 Approved)

Florida

Registered Investment Advisory firm - (4/5/2018 Terminated)

Maryland

Registered Investment Advisory firm - (7/20/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 Terminated)

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

7580 Buckingham Blvd, Suite 180, Hanover, MD 21076

Mailing Address

Phone number

(410) 863-1040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	4,217
AUM (Assets Under Management)	$ 508,939,132

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.

Similar Advisors

Frederick Sharbaugh

PARK AVENUE SECURITIES LLC

IAR

Baton Rouge, LA

Garrett Norton

LPL FINANCIAL LLC

IAR

Baton Rouge, LA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andrew L. Duckworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew L Duckworth's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

PROSTATIS FINANCIAL ADVISORS GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 6/6/2014

SIE

Date: 10/1/2018

Series 7

Date: 5/13/2014

Current Firm

PROSTATIS FINANCIAL ADVISORS GROUP

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSTATIS FINANCIAL ADVISORS GROUP

TRUST BUT VERIFY

Similar Advisors