AB
Anne S. Buck
KESTRA ADVISORY SERVICES
New Brunfels, TX 78130
Some features on this profile are disabled
CRD#: 2108614
AB
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.
Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/28/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: MTJ, LLC POSITION: member/Vice President/Treasurer NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/22/2022 ADDRESS: 303 Lakeview, New Braunfels TX 78130, United States DESCRIPTION: We occasionally do upgrades and inspect the property. We have a current tenant who has been their for 1 1/2 years and just signed another 1 year lease so the obligations at this moment are minimal. Name: TRINITY OAK WEALTH PARTNERS POSITION: Member/owner NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/28/2025 ADDRESS: 137 Landa Street, New Braunfels TX 78130, United States DESCRIPTION: As a holistic wealth planner, I utilize investments, consulting, and insurance in my practice. Name: ANNE SCHUMANN BUCK, LLC POSITION: Managing Member NATURE: Legal/Attorney/Trustee/Executor INVESTMENT RELATED: No # OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 07/01/2015 ADDRESS: 137 Landa Street, New Braunfels TX 78130, United States DESCRIPTION: This is the umbrella for my business. It is merely my avenue to pay bills and to limit liability. Duties include payroll, paying bills, signing leases for my office space, buying equipment for the business, etc. Name: SCHUMANN AND BUCK FINANCIAL SERVICES POSITION: Owner NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/22/2014 ADDRESS: 137 Landa Street, New Braunfels TX 78130, United States DESCRIPTION: I intend to use this DBA only as a shell DBA. Trinity Oak Wealth Partners is my primary DBA but I would like to keep this one available for the time being for google searches. I intend to tie all of my names into Trinity Oak Wealth. Name: CENTERPOINT HUNTER PARTNERS POSITION: partner NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/18/2017 ADDRESS: 328 S. Seguin Ave., New Braunfels TX 78130, United States DESCRIPTION: I do not have any duty associated with this business other that occasionally casting a vote in favor or against changes on the property. Name: 5S-SCHUMANN RANCH, LLC POSITION: managing member NATURE: Cattle sales and leasing INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2025 ADDRESS: 539 Hunters Trophy, New Braunfels TX 78132, United States DESCRIPTION: I will procure the lease and handle the finances which include insurance, taxes and misc. bills.
CRS (Client Relationship Summary) - RIA
Click below to view Anne Schumann Buck'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®
Experience
Current
May 6, 2025 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 137 Landa Street, New Brunfels, TX 78130RIA
CRD#: 283330
New Brunfels, TX
Current
May 6, 2025 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 137 Landa Street, New Brunfels, TX 78130BD
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.
BD
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.
BD
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.
BD
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".
KA
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.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
Colorado(5/6/2025)
RR
Georgia(5/6/2025)
RR
Louisiana(5/6/2025)
RR
Oklahoma(6/9/2025)
RR
Tennessee(5/6/2025)
RR
Texas(5/6/2025)
IAR
Texas(5/6/2025)
RR
Utah(6/9/2025)
RR
Wisconsin(5/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
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)Upgrade to AdvisorCheck Premium
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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)
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 |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
