Joseph F. Shouvlin

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CRD#: 5304746

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Francis Xavier Shouvlin, CFP®, who also goes by Joseph Francis Xavier Shouvlin, Joseph Shouvlin, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2007. Joseph had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph Francis Xavier Shouvlin | Joseph Shouvlin

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.

EMPLOYEE OF THE VANGUARD GROUP, INC. (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

November 29, 2023 - August 15, 2024

FACET

RIA

CRD#: 285961

Newton, CT

Past

October 24, 2016 - September 8, 2023

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Charlotte, NC

Past

October 24, 2016 - September 8, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

Past

March 29, 2011 - June 6, 2016

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

March 29, 2011 - June 6, 2016

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

November 18, 2008 - March 3, 2011

TD AMERITRADE, INC.

RIA

CRD#: 7870

FORT WORTH, TX

Past

November 18, 2008 - March 3, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FORT WORTH, TX

Past

November 18, 2008 - March 3, 2011

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Past

August 17, 2007 - November 6, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DALLAS, TX

Past

May 30, 2007 - November 6, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DALLAS, 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".

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 8/15/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/29/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/2018

General Securities Principal Examination

Current Firm

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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Contact information

Main Address

400 East Pratt Street 8th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 376-6222

Established

Firm type

Fiscal year end

# of Employees

174

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	36,817
AUM (Assets Under Management)	$ 4,754,146,771

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	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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Firm Stability Insights

Joseph F. Shouvlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

FACET

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2007

SIE

Date: 10/1/2018

Series 7

Date: 5/29/2007

Series 24

Date: 12/15/2018

Current Firm

FACET

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FACET

TRUST BUT VERIFY

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