Steven J. Whitman

USI ADVISORS

Glastonbury, CT 06033

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CRD#: 2224319

Professional summary

Steven Joseph Whitman, who also goes by Steven J Whitman, Steven Joseph Whitman, Steven Josepth Whitman, is a registered financial advisor currently at USI ADVISORS located in Glastonbury, Connecticut and USI SECURITIES, INC. located in Glastonbury, Connecticut.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Steven has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven J Whitman | Steven Joseph Whitman | Steven Josepth Whitman

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 Steven Joseph Whitman'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

July 28, 2025 - Present

USI ADVISORS

Office #1: 95 Glastonbury Blvd. Suite 410, Glastonbury, CT 06033

RIA

CRD#: 108113

Glastonbury, CT

Current

July 25, 2025 - Present

USI SECURITIES, INC.

Office #1: 95 Glastonbury Blvd Suite 102, Glastonbury, CT 06033

RIA

CRD#: 43793

Glastonbury, CT

Past

July 28, 2025 - July 30, 2025

USI SECURITIES, INC.

RIA

CRD#: 43793

GLASTONBURY, CT

Past

January 7, 2020 - February 28, 2025

MGI FUNDS DISTRIBUTORS, LLC

CRD#: 35682

Hartford, CT

Past

April 10, 2012 - January 6, 2020

MMC SECURITIES LLC

RIA

CRD#: 103846

HARTFORD, CT

Past

February 8, 2012 - January 6, 2020

MMC SECURITIES LLC

CRD#: 103846

HARTFORD, CT

Past

December 6, 2004 - December 8, 2010

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

HARTFORD, CT

Past

June 28, 2002 - December 6, 2004

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

Past

July 10, 2001 - March 21, 2002

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

February 28, 2000 - May 4, 2001

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

Past

July 21, 1997 - December 6, 1999

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

Past

May 29, 1996 - April 23, 1997

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

CRD#: 40596

HARTFORD, CT

Past

May 21, 1992 - December 6, 1995

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

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".

USI ADVISORS

USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA

Registered Investment Advisory firm - (6/18/1999 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

Connecticut
(7/25/2025)

IAR

Connecticut
(7/28/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/30/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/19/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

USI ADVISORS

USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

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Contact information

Main Address

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033

Mailing Address

Phone number

(860) 633-5283

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (49 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

USIA ADV 2A - JULY 2025 (7/3/2025)

Regulatory assets under management

Total Number of Accounts	1,346
AUM (Assets Under Management)	$ 48,864,913,348

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

Steven J. Whitman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Joseph Whitman's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI SECURITIES, INC.

USI SECURITIES, INC.

MGI FUNDS DISTRIBUTORS, LLC

MMC SECURITIES LLC

MMC SECURITIES LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

WS GRIFFITH SECURITIES, INC.

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

USI ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2012

Series 63

Date: 5/16/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/24/1996

Series 6

Date: 5/19/1992

FINRA

Current Firm

USI ADVISORS

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

USI ADVISORS

TRUST BUT VERIFY

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