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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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SB

Shepard A. Buckman

SEQUENCE WEALTH MANAGEMENT
Arlington, VA
Some features on this profile are disabled
CRD#: 4118936
SB

Professional summary

Shepard Alan Buckman, who also goes by Shep Alan Buckman, Shep Buckman, is a registered financial advisor currently at SEQUENCE WEALTH MANAGEMENT located in Arlington, Virginia and ROSSBY FINANCIAL, LLC located in New Orleans, Louisiana.

Shepard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Shepard has worked at 8 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Shep Alan Buckman | Shep Buckman

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 Shepard Alan Buckman'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

August 23, 2023 - Present

SEQUENCE WEALTH MANAGEMENT

RIA
CRD#: 325470
Arlington, VA
Current

January 7, 2026 - Present

ROSSBY FINANCIAL, LLC

Office #1: 6073 Louisville Street, New Orleans, LA 70124
RIA
CRD#: 324631
New Orleans, LA
Past

April 9, 2020 - August 22, 2023

EQUITAS CAPITAL ADVISORS,LLC

RIA
CRD#: 124471
NEW ORLEANS, LA
Past

August 16, 2018 - March 8, 2019

UNITED BROKERAGE SERVICES, INC

RIA
CRD#: 39062
McLean, VA
Past

August 16, 2018 - March 8, 2019

UNITED BROKERAGE SERVICES, INC

BD
CRD#: 39062
McLean, VA
Past

November 18, 2008 - August 22, 2018

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WASHINGTON, DC
Past

November 18, 2008 - August 22, 2018

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WASHINGTON, DC
Past

April 2, 2007 - November 24, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
WASHINGTON, DC
Past

April 2, 2007 - November 24, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
WASHINGTON, DC
Past

July 12, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WASHINGTON, DC
Past

July 12, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
WASHINGTON, DC
Past

January 17, 2001 - July 19, 2002

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
WASHINGTON, DC
Past

May 15, 2000 - July 19, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
RF
ROSSBY FINANCIAL, LLC
EVIE FINANCIAL | TRUCESS | TOLER FINANCIAL GROUP | THE ALAN R JOYCE COMPANY LLC | ROSSBY WEALTH, LLC | ROSSBY FINANCIAL, LLC | REYMAR WEALTH MANAGEMENT | RED OAK ADVISORS | RANDOLPH MARTIN RETIREMENT GROUP | OLEADA FINANCIAL | MARSICO WEALTH MANAGEMENT, LLC | LIFE STRATEGIES FINANCIAL PARTNERS

CRD#: 324631 / SEC#: 801-127370

RIA
Registered Investment Advisory firm - (2/24/2023 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.

Highlighted states indicate IAR registrations

IAR
Louisiana
(9/6/2023)
IAR
Virginia
(8/23/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/7/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/26/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 7/30/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/8/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/12/2000
General Securities Representative Examination

Current Firm

RF
ROSSBY FINANCIAL, LLC
EVIE FINANCIAL | TRUCESS | TOLER FINANCIAL GROUP | THE ALAN R JOYCE COMPANY LLC | ROSSBY WEALTH, LLC | ROSSBY FINANCIAL, LLC | REYMAR WEALTH MANAGEMENT | RED OAK ADVISORS | RANDOLPH MARTIN RETIREMENT GROUP | OLEADA FINANCIAL | MARSICO WEALTH MANAGEMENT, LLC | LIFE STRATEGIES FINANCIAL PARTNERS

CRD#: 324631 / SEC#: 801-127370

RIA
Registered Investment Advisory firm - (2/24/2023 Approved)
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Contact information

Main Address
2412 Irwin Street, Melbourne, FL 32901
Mailing Address
Phone number
(321) 209-0111
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ROSSBY WRAP BROCHURE 2025 (3/4/2025)
ROSSBY ADV PART 2A BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts804
AUM (Assets Under Management)$ 358,627,117

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

ROSSBY FINANCIAL, LLC

CRD#: 324631Arlington, VA

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