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RIA / WealthAdvisor30 years in industry

Steven Joseph Whitman

Advisor at WEALTHSPIRE RETIREMENT ADVISORY

ALISO VIEJO, CA | West Hartford, CT

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Search this name across graphsid dfx:ria:ff0f2919-ce0c-b6a4-8b16-94b79be97a2f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 10, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WEALTHSPIRE RETIREMENT ADVISORY
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 16, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: May 16, 1996
First registration: Apr 10, 2012
Dual registered: no
Other names: STEVEN J WHITMAN|STEVEN JOSEPH WHITMAN|Steven Josepth Whitman
IAPD individual key: 2224319

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WEALTHSPIRE RETIREMENT ADVISORY	Institutional manager	Apr 16, 2026	n/a	yes	West Hartford, CT\|ALISO VIEJO, CA	Current employment
USI ADVISORS	Institutional manager	Jul 28, 2025	Mar 25, 2026	no	Glastonbury, CT\|GLASTONBURY, CT	Previous registration
USI SECURITIES, INC.	No RAUM reported	Jul 28, 2025	Jul 30, 2025	no	GLASTONBURY, CT\|GLASTONBURY, CT	Previous registration
MMC SECURITIES LLC	Former SEC adviser	Apr 10, 2012	Jan 6, 2020	no	HARTFORD, CT\|Norwalk, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
USI ADVISORS	WEALTHSPIRE RETIREMENT ADVISORY	Mar 25, 2026	Apr 16, 2026	22	Firm change	Other
USI SECURITIES, INC.	USI ADVISORS	Jul 30, 2025	Jul 28, 2025	-2	Channel change	Other
MMC SECURITIES LLC	USI SECURITIES, INC.	Jan 6, 2020	Jul 28, 2025	2,030	Firm change after gap	Other

Relationships

Registered with (4)

→ WEALTHSPIRE RETIREMENT ADVISORYRegistered adviserregistration: current employment
Apr 16, 2026 to presentfactForm ADV
→ USI ADVISORSRegistered adviserregistration: previous registration
Jul 28, 2025 to Mar 25, 2026factForm ADV
→ USI SECURITIES, INC.Registered adviserregistration: previous registration
Jul 28, 2025 to Jul 30, 2025factForm ADV
→ MMC SECURITIES LLCRegistered adviserregistration: previous registration
Apr 10, 2012 to Jan 6, 2020factForm ADV

Dated events

Occurred
Mar 25, 2026
Advisor changed firm
Steven Joseph Whitman left Usi Advisors for Wealthspire Retirement Advisory (registered 2026-04-16)
Form ADVobserved 4 days ago