Shepard Alan Buckman
Investment adviser representative at Rossby Financial, LLC
18 yearsExperience
2 statesRegistered in
CFADesignation
$854.8MFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
18 years in the industry.
- Rossby Financial, LLCDec 2025 to now
- Sequence Wealth Management, LLCFeb 2023 to now
- Equitas Capital AdvisorsNov 2019 to Aug 2023
- UnemployedMar 2019 to Nov 2019
- United Wealth Management/united Brokerage ServicesAug 2018 to Mar 2019
- UBS Financial Services IncAug 2008 to Aug 2018
Designations
- CFA
Exams passed
- Series 63 · Uniform Securities Agent State Law2000
- Series 65 · Uniform Investment Adviser Law2000
State registrations
Registered as an investment adviser representative in 2 states (LA, VA).
Rossby Financial, LLC
$854.8MAssets managed
3,910Clients
31Advisers
3 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4118936
- Firm CRD
- 324631