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NM

Nicole T. Mascio

AMS BROKERAGE SERVICES LLC
BATON ROUGE, LA 70806
Some features on this profile are disabled
CRD#: 7571744
NM

Professional summary

Nicole Taylor Mascio, who also goes by Nikki Mascio, is a registered financial professional currently at AMS BROKERAGE SERVICES LLC located in Baton Rouge, Louisiana.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2023. Nicole has worked at 3 firms and has passed the Series 66, Series 7TO, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nikki Mascio

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 Nicole Taylor Mascio'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

February 26, 2024 - August 22, 2025

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

January 2, 2024 - January 12, 2024

LINCOLN INVESTMENT

RIA
CRD#: 519
Fort Washington, PA
Past

May 5, 2023 - January 12, 2024

LINCOLN INVESTMENT

BD
CRD#: 519
Fort Washington, PA

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
Pennsylvania
(10/24/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/20/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/11/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/5/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/24/2023
Securities Industry Essentials 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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