Stacey M Prowse

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 04/2000 → 06/2023
  Royal Alliance Associates Inc.
  Williamsville, NY
• 04/1998 → 01/2022
  Geogetown Capital Group
  Williamsville, NY
• 06/2023 → 08/2025
  Osaic Wealth, Inc.
  Williamsville, NY
• 08/2025 → Present
  Lpl Financial
  Williamsville, NY

Previous Registrations

• 2017-12-13 → 2025-08-11
  Osaic Wealth, Inc.
  Williamsville, NY
  Williamsville, NY

Other Businesses

1. 06/2025 - Stacey Prowse Notary - Notary - Investment Related - 1 Hour(s)/Month - 0 Hour(s) During Trading - Williamsville, NY 14221 - OBA Start Date: 03/01/2010 2. 06/2025 - Georgetown Lawley Group - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hour(s)/Month - 8 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 8/4/2025

Exams

• S66 Uniform Combined State Law Examination
  2017-12-11
• S63 Uniform Securities Agent State Law Examination
  2000-08-01

Other Names

• Stacey M Pempsell