KL
Kerry L. Lawing
PREVAIL INNOVATIVE WEALTH ADVISORS
LEAWOOD, KS 66224
Some features on this profile are disabled
CRD#: 1232996
KL
Professional summary
Kerry Lee Lawing is a registered financial advisor currently at PREVAIL INNOVATIVE WEALTH ADVISORS, LLC located in Leawood, Kansas.
Kerry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Kerry has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) PREVAIL STRATEGIES, LLC - CEO. 6/2017 TO PRESENT. INVESTMENT RELATED. SALES AND MARKETING OF FIXED INSURANCE PRODUCTS. 10 HRS/WEEK SPENT ON THIS ACTIVITY. 2) SEABREEZE ONE - MANAGING MEMBER. 11/2017 TO PRESENT. NOT INVESTMENT RELATED. HOLDING COMPANY THAT OWNS AND OPERATES AN AIRPLANE UNDER TO DRY LEASE TO ENTITIES.1 HR/MONTH SPENT ON THIS ACTIVITY. 3) KB COMMERCIAL, LLC, 5/2015 TO PRESENT AS OWNING MEMBER OF LLC. LLC OWNS COMMERCIAL RENTAL BUILDING. NOT INVESTMENT RELATED - DEVOTES 2 HR/MO - NONE DURING TRADING HOURS. 20E DUNDEE CIRCLE, VILLAGE OF LOCH LLOYD, MO 64012. 4) PREVAIL ALTERNATIVE ASSETS, LLC - MEMBER AND MAJORITY OWNER. 03/2021 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE REVIEWING POTENTIAL REAL ESTATE TRANSACTIONS. 10 HRS/WEEK SPENT ON THIS ACTIVITY. COMPENSATION IS IN THE FORM OF DISTRIBUTIONS IF PREO IS PROFITABLE. 5) DLB OPPORTUNITIES, LLC - MEMBER. 04/2021 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE REVIEWING REAL ESTATE TRANSACTIONS. 2 HRS/WEEK SPENT ON THIS ACTIVITY. 6) BUSINESS CONSULTING SERVICE, LLC - MANAGING MEMBER, MENTOR AND CONSULTANT FOR INDIVIDUALS AND COMPANIES. NOT INVESTMENT RELATED. 10 HRS/MONTH SPENT ON THIS ACTIVITY. 7) LAWING FAMILY FOUNDATION - PRESIDENT. 09/2021 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE CEO OF THE FOUNDATION, GENERAL EXECUTIVE POWERS AND DUTIES OF SUPERVISION AND MANAGEMENT, INCLUDING SUPERVISION OF INVESTMENT STRATEGY. 2 HRS/MONTH SPENT ON THIS ACTIVITY, DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Kerry Lee Lawing's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 9, 2021 - Present
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC
Office #1: 4745 W. 136th Street, Leawood, KS 66224RIA
CRD#: 288641
LEAWOOD, KS
Past
July 16, 2010 - October 13, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Raymore, MO
Past
May 6, 2010 - July 16, 2010
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
CINCINNATI, OH
Past
December 16, 2003 - December 31, 2006
MASON JAMES ASSET MANAGEMENT, INC.
RIA
CRD#: 118329
OVERLAND PARK , KS
Past
May 27, 2003 - November 28, 2017
LAWING FINANCIAL INC
RIA
CRD#: 117178
OVERLAND PARK, KS
Past
October 16, 1992 - July 16, 2010
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
OVERLAND PARK, KS
Past
February 19, 1986 - October 15, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
February 19, 1986 - October 15, 1992
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PI
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC
LF WEALTH ADVISORS | PREVAIL RETIREMENT SOLUTIONS | PREVAIL IWA | PREVAIL INNOVATIVE WEALTH ADVISORS, LLC | LF WEALTH ADVISORS, LLC
CRD#: 288641 / SEC#: 801-123758
RIA
Registered Investment Advisory firm - (4/19/2022 Approved)Kansas
Registered Investment Advisory firm - (4/20/2022 Terminated)Missouri
Registered Investment Advisory firm - (4/20/2022 Terminated)Texas
Registered Investment Advisory firm - (4/20/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Kansas(3/10/2022)
IAR
Missouri(2/9/2021)
IAR
Texas(3/10/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
PI
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC
LF WEALTH ADVISORS | PREVAIL RETIREMENT SOLUTIONS | PREVAIL IWA | PREVAIL INNOVATIVE WEALTH ADVISORS, LLC | LF WEALTH ADVISORS, LLC
CRD#: 288641 / SEC#: 801-123758
RIA
Registered Investment Advisory firm - (4/19/2022 Approved)Kansas
Registered Investment Advisory firm - (4/20/2022 Terminated)Missouri
Registered Investment Advisory firm - (4/20/2022 Terminated)Texas
Registered Investment Advisory firm - (4/20/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4745 W. 136th Street, Leawood, KS 66224
Mailing Address
Phone number
(913) 295-9500
Established
Firm type
Fiscal year end
# of Employees
45
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,953 |
| AUM (Assets Under Management) | $ 815,418,771 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
