Michael E. Buckingham

WATEROUS ENERGY FUND MANAGEMENT (US)

Houston, TX 77002

Some features on this profile are disabled

CRD#: 4671869

Professional summary

Michael Edward Buckingham is a registered financial advisor currently at WATEROUS ENERGY FUND MANAGEMENT (US), LLC located in Houston, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Michael has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Michael Edward Buckingham'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

March 20, 2018 - Present

WATEROUS ENERGY FUND MANAGEMENT (US), LLC

Office #1: 333 Clay Street Suite 3700, Houston, TX 77002

RIA

CRD#: 290952

Houston, TX

Past

August 17, 2012 - September 30, 2016

SCOTIA CAPITAL (USA) INC.

CRD#: 2739

HOUSTON, TX

Past

November 16, 2010 - June 11, 2012

UBS SECURITIES LLC

CRD#: 7654

HOUSTON, TX

Past

April 23, 2010 - September 22, 2010

UBS SECURITIES LLC

CRD#: 7654

HOUSTON, TX

Past

May 12, 2009 - April 12, 2010

LAZARD FRERES & CO. LLC

CRD#: 2528

HOUSTON, TX

Past

March 6, 2009 - May 8, 2009

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

January 7, 2008 - February 13, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

HOUSTON, 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".

WATEROUS ENERGY FUND MANAGEMENT (US), LLC

CRD#: 290952 / SEC#: 801-112304

RIA

Registered Investment Advisory firm - (1/18/2018 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

Texas
(3/20/2018)

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

Series 63

Date: 6/18/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/30/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/6/2008

General Securities Representative Examination

Current Firm

WATEROUS ENERGY FUND MANAGEMENT (US), LLC

CRD#: 290952 / SEC#: 801-112304

RIA

Registered Investment Advisory firm - (1/18/2018 Approved)

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

717 Texas Avenue Suite 1200, Houston, TX 77002

Mailing Address

Phone number

(281) 545-7397

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

WATEROUS ENERGY FUND MANAGEMENT (US), LLC - PART 2A (BROCHURE) (3/26/2025)

Regulatory assets under management

Total Number of Accounts	16
AUM (Assets Under Management)	$ 5,166,632,243

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

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

James Marshall

MARSHALL WEALTH MANAGEMENT, LLC

IAR

SUGAR LAND, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael E. Buckingham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Edward Buckingham's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCOTIA CAPITAL (USA) INC.

UBS SECURITIES LLC

UBS SECURITIES LLC

LAZARD FRERES & CO. LLC

SANDERS MORRIS LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

WATEROUS ENERGY FUND MANAGEMENT (US), LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/18/2010

SIE

Date: 9/30/2016

Series 7

Date: 1/6/2008

Current Firm

WATEROUS ENERGY FUND MANAGEMENT (US), LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATEROUS ENERGY FUND MANAGEMENT (US), LLC

TRUST BUT VERIFY

Similar Advisors