Williamsville, NY 5350 Main St Office

Team
Updated today
LPL Financial logo

LPL Financial

Institution

Firm-wide stats for LPL Financial

Total advisors

25,460

Across 11,249 offices

Clients per advisor

77 Low

Avg AUM per client

$399,489 Typical

HNW client ratio

34% Very High

About

LPL Financial is a national broker‑dealer and SEC‑registered investment adviser that delivers advisory and brokerage services through a network of investment adviser representatives to individuals, retirement plan participants, banks, trust companies and other institutions. Its offerings include financial planning, wrap and model portfolio programs, third‑party asset management (TAMP) access, participant‑level retirement advice (IPA and OPA), and institutional platforms such as the Bank Wealth Program.

Advice and account management are provided primarily by IARs who may implement LPL Research model portfolios, third‑party subadvisors, or customized strategies on either a discretionary or non‑discretionary basis, with options spanning strategic and tactical allocations, direct indexing and alternative exposures. The brochure notes LPL’s use of machine‑learning and other advisor‑facing tools for operational and research support while stating those systems are not used to make investment decisions for clients.

What distinguishes LPL from many peers is the scale and breadth of its non‑advisory financial activities alongside its advisory platform—an affiliated insurance agency, a firm‑offered Secured Credit Account and credit‑card arrangements, and various recordkeeping and bank partnerships—combined with oversight of over $819 billion in discretionary assets and more than 22,800 advisors. The firm’s brochure also discloses multiple regulatory enforcement matters and indicates it does not advertise hypothetical performance in its materials.

Based on LPL Financial

Expertise

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities

Based on LPL Financial

Occupation focus

Retired Founder/Business Owner Executive

Based on LPL Financial

Location

5350 Main St Ste 9

Williamsville NY 14221

Advisors at this office

5

Advisors at this office

user avatar

Joseph C

Series 63, Series 65

Williamsville, NY

LPL Financial

Joseph Curatolo is a financial advisor with LPL Financial, holding Series 63 and Series 65 credentials and bringing 50 years of industry experience. He previously worked for Royal Alliance Associates, INC. for 36 years and has been associated with Georgetown Capital Group since 1987. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of advisory and brokerage services including financial planning, model portfolios, third-party asset management, and institutional platforms, with a notable scale of operations and diverse financial service offerings.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Stacey P

Series 63, Series 66

Williamsville, NY

LPL Financial

Stacey Prowse is a financial advisor with LPL Financial, holding Series 63 and Series 66 licenses and having 26 years of industry experience. Prior to joining LPL in 2025, she worked at OSAIC for two years and Royal Alliance Associates Inc. for 23 years. She is also a notary in Williamsville, NY. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of advisory and brokerage services, including financial planning and access to third-party asset management, utilizing both discretionary and non-discretionary strategies.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Stephen W

Series 63, Series 66

Williamsville, NY

LPL Financial

Stephen Wzontek is a financial advisor at LPL Financial with 45 years of industry experience. He holds Series 63 and Series 66 designations and has previously worked at Royal Alliance Associates, INC. for 34 years and OSAIC for 2 years. LPL Financial is a national broker-dealer and SEC-registered investment adviser that serves individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of advisory services including financial planning, model portfolios, third-party asset management, and institutional platforms, supporting a network of over 22,800 advisors.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Joseph S

Series 66

Williamsville, NY

LPL Financial

Joseph Shaw III is a financial advisor with LPL Financial, holding a Series 66 designation and 17 years of industry experience. His prior roles include positions at Morgan Stanley, M&T Securities, and Private Advisor Group. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of financial planning and investment management services through a large network of advisors, utilizing various portfolio strategies and technology tools to support advisory delivery.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
user avatar

Melissa M

Series 63, Series 66

Williamsville, NY

LPL Financial

Melissa Mcisaac is a financial advisor with LPL Financial in Williamsville, NY, holding Series 63 and Series 66 licenses and bringing 25 years of industry experience. She previously worked at OSAIC for 25 years and Georgetown Capital Group for 23 years. In addition to her advisory role, she is a licensed notary. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of advisory and brokerage services including financial planning, model portfolios, third-party asset management, and institutional platforms, supported by advanced operational and research tools.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
View complete list of advisors at this office
Warmer team member

Not sure where to start?

We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.

Find your advisor

For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.

Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.

By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev

© 2026 Warmer Holdings Inc. (“Warmer”)