Anne S. Buck

KESTRA ADVISORY SERVICES

New Brunfels, TX 78130

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CRD#: 2108614

Professional summary

Anne Schumann Buck, ChFC®, CLU®, who also goes by Anne S Buck, Sheila Anne Buck, Anne Schumann Buck, Sheila Anne Schumann, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in New Brunfels, Texas and KESTRA INVESTMENT SERVICES, LLC located in New Brunfels, Texas.

Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Anne has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anne S Buck | Sheila Anne Buck | Anne Schumann Buck | Sheila Anne Schumann

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) - RIA

Click below to view Anne Schumann Buck'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

May 6, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 137 Landa Street, New Brunfels, TX 78130

RIA

CRD#: 283330

New Brunfels, TX

Current

May 6, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 137 Landa Street, New Brunfels, TX 78130

CRD#: 42046

New Brunfels, TX

Past

June 14, 2024 - May 8, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

NEW BRAUNFELS, TX

Past

June 14, 2024 - May 8, 2025

OSAIC WEALTH, INC.

CRD#: 23131

NEW BRAUNFELS, TX

Past

April 22, 2014 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

NEW BRAUNFELS, TX

Past

April 22, 2014 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

NEW BRAUNFELS, TX

Past

February 26, 1991 - April 23, 2014

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

NEW BRAUNFELS, TX

Past

February 25, 1991 - April 23, 2014

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

NEW BRAUNFELS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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.

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

Colorado
(5/6/2025)

Georgia
(5/6/2025)

Louisiana
(5/6/2025)

Oklahoma
(6/9/2025)

Tennessee
(5/6/2025)

Texas
(5/6/2025)

IAR

Texas
(5/6/2025)

Utah
(6/9/2025)

Wisconsin
(5/6/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/29/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/5/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/22/1991

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/01/2025	Cover Page	Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Anne S. Buck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Schumann Buck's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/1999

Series 63

Date: 1/29/1991

SIE

Date: 10/1/2018

Series 7

Date: 12/5/2007

Series 6

Date: 2/22/1991

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Contact information

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