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Steven Joseph Whitman

Wealthspire Retirement Advisory

West Hartford, CT

Aliso Viejo, CA

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Current Employers
Wealthspire Retirement Advisory

120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2026-04-16
  • CT RA
    APPROVED
    Since 2026-04-16

Branch Locations

29 South Main Street Suite 300, West Hartford, CT 06107 • United States

120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mmc Securities Corp. Hartford CT 01/2012 12/2019
Mercer Investments, Llc Hartford CT 01/2012 01/2025
Mgi Funds Distributors, Llc Hartford CT 01/2020 01/2025
Usi Consulting Group Glastonbury CT 07/2025 03/2026
Usi Securities Glastonbury CT 07/2025 03/2026
Usi Advisors Glastonbury CT 07/2025 03/2026
Unemployed Simsbury CT 02/2025 06/2025
Nfp, An Aon Company West Hartford CT 04/2026 Present
Wealthspire Retirement Advisory Aliso Viejo CA 04/2026 Present
  • 01/2012 → 12/2019
    Mmc Securities Corp.
    Hartford, CT
  • 01/2012 → 01/2025
    Mercer Investments, Llc
    Hartford, CT
  • 01/2020 → 01/2025
    Mgi Funds Distributors, Llc
    Hartford, CT
  • 07/2025 → 03/2026
    Usi Consulting Group
    Glastonbury, CT
  • 07/2025 → 03/2026
    Usi Securities
    Glastonbury, CT
  • 07/2025 → 03/2026
    Usi Advisors
    Glastonbury, CT
  • 02/2025 → 06/2025
    Unemployed
    Simsbury, CT
  • 04/2026 → Present
    Nfp, An Aon Company
    West Hartford, CT
  • 04/2026 → Present
    Wealthspire Retirement Advisory
    Aliso Viejo, CA
Previous Registrations
  • 2025-07-28 → 2026-03-25
    Usi Advisors
    Glastonbury, CT
    Glastonbury, CT
  • 2025-07-28 → 2025-07-30
    Usi Securities, Inc.
    Glastonbury, CT
    Glastonbury, CT
  • 2012-04-10 → 2020-01-06
    Mmc Securities Llc
    Hartford, CT
    Norwalk, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-03-30
S63 Uniform Securities Agent State Law Examination 1996-05-16
  • S66 Uniform Combined State Law Examination
    2012-03-30
  • S63 Uniform Securities Agent State Law Examination
    1996-05-16
Other Names
  • Steven J Whitman
  • Steven Joseph Whitman
  • Steven Josepth Whitman

View on SEC IAPD

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Other Offices

MCCARY ANHEUSER WEALTH MANAGEMENT, LLC · WEST HARTFORD, CT
COMMONWEALTH FINANCIAL NETWORK · West Hartford, CT
JANNEY MONTGOMERY SCOTT LLC · West Hartford, CT
LPL FINANCIAL LLC · WEST HARTFORD, CT
CETERA INVESTMENT ADVISERS LLC · WEST HARTFORD, CT
LPL FINANCIAL LLC · WEST HARTFORD, CT
PRIME CAPITAL FINANCIAL · West Hartford, CT
THE PATRIOT FINANCIAL GROUP, LLC · WEST HARTFORD, CT

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