Jay F. Haffley

PREVAIL INNOVATIVE WEALTH ADVISORS

Leawood, KS 66224

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CRD#: 4265323

Professional summary

Jay Frederick Haffley, who also goes by Jay F Haffley, is a registered financial advisor currently at PREVAIL INNOVATIVE WEALTH ADVISORS, LLC located in Leawood, Kansas.

Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Jay has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay F Haffley

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.

INSURANCE LICENSED LIFE AND HEALTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Frederick Haffley's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 20, 2024 - Present

PREVAIL INNOVATIVE WEALTH ADVISORS, LLC

Office #1: 4745 W. 136th Street, Leawood, KS 66224

RIA

CRD#: 793

ST. LOUIS, MO

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(11/20/2024)

IAR

Missouri
(11/21/2024)

IAR

Oklahoma
(11/21/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/12/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/4/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2000

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PREVAIL INNOVATIVE WEALTH ADVISORS ADV PART 2 APPENDIX 1 WRAP FEE BROCHURE (6/12/2025)

PREVAIL INNOVATIVE WEALTH ADVISORS ADV PART 2A FIRM BROCHURE (6/12/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Jay F. Haffley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Frederick Haffley's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Primary Firm SEC Registration

PREVAIL INNOVATIVE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/12/2000

Series 65

Date: 10/4/2000

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2000

Current Firm

PREVAIL INNOVATIVE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PREVAIL INNOVATIVE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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