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RIA / WealthAdvisorChartered Financial Analyst26 years in industry

SHEPARD ALAN BUCKMAN

Advisor at ROSSBY FINANCIAL, LLC

MELBOURNE, FL | New Orleans, LA

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Search this name across graphsid dfx:ria:51241105-e31f-fb06-3584-78697293e46d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Jan 17, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ROSSBY FINANCIAL, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 26, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Analyst
Exams: S65|S63
First exam: May 26, 2000
First registration: Jan 17, 2001
Dual registered: no
Other names: SHEP ALAN BUCKMAN|Shep Buckman
IAPD individual key: 4118936

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ROSSBY FINANCIAL, LLC	Independent wealth	Jan 7, 2026	n/a	yes	MELBOURNE, FL\|New Orleans, LA	Current employment
SEQUENCE WEALTH MANAGEMENT	n/a	Aug 23, 2023	May 8, 2026	no	NEW ORLEANS, LA\|New Orleans, LA	Previous registration
EQUITAS CAPITAL ADVISORS,LLC	Mixed wealth	Apr 9, 2020	Aug 22, 2023	no	NEW ORLEANS, LA	Previous registration
UNITED BROKERAGE SERVICES INC	Bd affiliated wealth	Aug 16, 2018	Mar 8, 2019	no	BETHESDA, MD\|McLean, VA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 18, 2008	Aug 22, 2018	no	ANNAPOLIS, MD\|WEEHAWKEN, NJ\|WASHINGTON, DC\|WASHINGTON, DC	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Nov 24, 2008	no	WASHINGTON, DC	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 12, 2002	Apr 2, 2007	no	WASHINGTON, DC\|WASHINGTON, DC	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 17, 2001	Jul 19, 2002	no	WASHINGTON, DC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SEQUENCE WEALTH MANAGEMENT	ROSSBY FINANCIAL, LLC	May 8, 2026	Jan 7, 2026	-121	Firm change after gap	Other
EQUITAS CAPITAL ADVISORS,LLC	SEQUENCE WEALTH MANAGEMENT	Aug 22, 2023	Aug 23, 2023	1	Firm change	Other
UNITED BROKERAGE SERVICES INC	EQUITAS CAPITAL ADVISORS,LLC	Mar 8, 2019	Apr 9, 2020	398	Firm change	Other
UBS FINANCIAL SERVICES INC.	UNITED BROKERAGE SERVICES INC	Aug 22, 2018	Aug 16, 2018	-6	Firm change	Wirehouse to RIA
MORGAN STANLEY & CO. LLC	UBS FINANCIAL SERVICES INC.	Nov 24, 2008	Nov 18, 2008	-6	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY DW INC.	Jul 19, 2002	Jul 12, 2002	-7	Firm change	Other

Relationships

Registered with (8)

→ ROSSBY FINANCIAL, LLCRegistered adviserregistration: current employment
Jan 7, 2026 to presentfactForm ADV
→ SEQUENCE WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Aug 23, 2023 to May 8, 2026factForm ADV
→ EQUITAS CAPITAL ADVISORS,LLCRegistered adviserregistration: previous registration
Apr 9, 2020 to Aug 22, 2023factForm ADV
→ UNITED BROKERAGE SERVICES INCRegistered adviserregistration: previous registration
Aug 16, 2018 to Mar 8, 2019factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 18, 2008 to Aug 22, 2018factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Nov 24, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 12, 2002 to Apr 2, 2007factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 17, 2001 to Jul 19, 2002factForm ADV

Dated events

Occurred
May 8, 2026
Advisor changed firm
Shepard Alan Buckman left Sequence Wealth Management for Rossby Financial, Llc (registered 2026-01-07)
Form ADVobserved 4 days ago
Occurred
Aug 22, 2023
Advisor changed firm
Shepard Alan Buckman left Equitas Capital Advisors,Llc for Sequence Wealth Management (registered 2023-08-23)
Form ADVobserved 4 days ago