Steven L Prom

Employer firm

Wealthspire Retirement Advisory CRD 121254

$38.6B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• RESEARCH/VENDOR REPORTS ON 401(K) PLANS / DILIGENCE ON INVESTMENT LINEUPS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2016 → 10/2025
  Nfp Retirement, Inc.
  Aliso Viejo, CA
• 08/2010 → 03/2018
  Kestra Formerly Nfp Advisory Services, Inc.
  Minneapolis, MN
• 10/2025 → Present
  Wealthspire Retirement Advisory
  Aliso Viejo, CA

Previous Registrations

• 2010-02-25 → 2010-07-21
  Steele Capital Management, Inc.
  Edina, MN

Other Businesses

Business Name: Investment Property, a 2 unit rental duplex, 100% owner, devoted activity; 1 hour per week not during trading hours,no conflict of interest,

Exams

• S63 Uniform Securities Agent State Law Examination
  2010-12-30
• S65 Uniform Investment Adviser Law Examination
  2010-02-23
• S66 Uniform Combined State Law Examination
  2001-01-18