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SW

Steven J. Whitman

WEALTHSPIRE RETIREMENT ADVISORY
West Hartford, CT 06107
Some features on this profile are disabled
CRD#: 2224319
SW

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 WEALTHSPIRE RETIREMENT ADVISORY located in West Hartford, Connecticut.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Steven has worked at 9 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).
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

April 16, 2026 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 29 South Main Street Suite 210, West Hartford, CT 06107
RIA
CRD#: 121254
West Hartford, CT
Past

July 28, 2025 - July 30, 2025

USI SECURITIES, INC.

RIA
CRD#: 43793
GLASTONBURY, CT
Past

July 28, 2025 - March 25, 2026

USI ADVISORS

RIA
CRD#: 108113
Glastonbury, CT
Past

July 25, 2025 - March 25, 2026

USI SECURITIES, INC.

BD
CRD#: 43793
GLASTONBURY, CT
Past

January 7, 2020 - February 28, 2025

MGI FUNDS DISTRIBUTORS, LLC

BD
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

BD
CRD#: 103846
HARTFORD, CT
Past

December 6, 2004 - December 8, 2010

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
HARTFORD, CT
Past

June 28, 2002 - December 6, 2004

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

BD
CRD#: 40596
HARTFORD, CT
Past

July 10, 2001 - March 21, 2002

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

February 28, 2000 - May 4, 2001

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

BD
CRD#: 40596
HARTFORD, CT
Past

July 21, 1997 - December 6, 1999

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

BD
CRD#: 40596
HARTFORD, CT
Past

May 29, 1996 - April 23, 1997

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

BD
CRD#: 40596
HARTFORD, CT
Past

May 21, 1992 - December 6, 1995

TOWER SQUARE SECURITIES, INC.

BD
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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | NFP | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 Terminated)

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.

Highlighted states indicate IAR registrations

IAR
Connecticut
(4/16/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/30/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/16/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/24/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/19/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | NFP | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (12/23/2025)

Regulatory assets under management

Total Number of Accounts9,394
AUM (Assets Under Management)$ 118,031,461,765

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.

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254West Hartford, CT 06107

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