Joseph T. Shumbata

STRATEGIC ADVISERS LLC

HINGHAM, MA

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CRD#: 4129272

Professional summary

Joseph Thomas Shumbata, who also goes by Joseph T Shumbata, Joseph Shumbata, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Hingham, Massachusetts and FIDELITY BROKERAGE SERVICES LLC located in Hingham, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joseph has worked at 8 firms and has passed the Series 66, Series 52TO, SIE, Series 3, Series 7, Series 6, Series 10, Series 9, Series 53, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph T Shumbata | Joseph Shumbata

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 Joseph Thomas Shumbata'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

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 50 Derby St Ste 100, Hingham, MA 02043-3740

RIA

CRD#: 104555

HINGHAM, MA

Current

June 20, 2024 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 50 Derby St, Ste 100, Hingham, MA 02043-3740

CRD#: 7784

Hingham, MA

Past

July 3, 2024 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

HINGHAM, MA

Past

December 21, 2022 - May 15, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Boston, MA

Past

December 21, 2022 - May 15, 2024

MORGAN STANLEY

CRD#: 149777

Boston, MA

Past

December 22, 2014 - October 19, 2022

MORGAN STANLEY

RIA

CRD#: 149777

Boston, MA

Past

December 19, 2014 - October 19, 2022

MORGAN STANLEY

CRD#: 149777

Boston, MA

Past

July 17, 2009 - December 18, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BOSTON, MA

Past

May 5, 2006 - July 21, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WELLESLEY, MA

Past

May 26, 2005 - July 21, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

WELLESLEY, MA

Past

April 6, 2005 - March 3, 2006

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

November 19, 2003 - March 11, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 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.

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

California
(3/10/2025)

Florida
(1/4/2025)

Massachusetts
(6/20/2024)

IAR

Massachusetts
(3/31/2025)

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Joseph T. Shumbata

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Thomas Shumbata's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

MONY SECURITIES CORPORATION

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2015

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 9/21/2015

Series 7

Date: 4/15/2004

Series 6

Date: 11/18/2003

Series 10

Date: 10/15/2009

Series 9

Date: 9/10/2009

Series 53

Date: 9/28/2005

Series 24

Date: 5/23/2005

Series 26

Date: 11/25/2003

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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