AS
Andrew F. Stafford
PREVAIL INNOVATIVE WEALTH ADVISORS
LEAWOOD, KS 66224
Some features on this profile are disabled
CRD#: 6161884
AS
Professional summary
Andrew Franklin Stafford SR, who also goes by Andrew Stafford, is a registered financial advisor currently at PREVAIL INNOVATIVE WEALTH ADVISORS, LLC located in Leawood, Kansas.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Andrew has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Stafford
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 STRATEGES LLC: PRESIDENT, 15% OWNER AND INSURANCE AGENT. 4745 W. 136TH STREET, LEAWOOD, KS, 66224. 2013 TO PRESENT. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INVESTMENT-RELATED - 4 HRS/MO - 4 HRS/TRADING. 2) A2BC, LLC - MINORITY OWNER. JUNE 2021 TO PRESENT. NOT INVESTMENT RELATED. NO DUTIES. NO TIME SPENT ON THIS ACTIVITY. RENTAL PROPERTY IN SIESTA KAY, FL. 3) THE UNICORN GROUP, LLC (KANSAS ENTITY) 15525 S. PFLUMM ROAD, OLATHE, KS 64115, 66062. BEGINS 6/12/2018 AS OWNER. NOT INVESTMENT RELATED. DEVOTES 0 HOURS EVERY OTHER MONTH, NONE DURING TRADING. 4) UNICORN GROUP, LLC (MISSOURI ENTITY) 4745 S. HIGHLAND RIDGE DRIVE, LOCH LLOYD, MO 64012. BEGINS 12-22-2020 AS OWNERSHIP ONLY. NOT INVESTMENT RELATED. DEVOTES 0 HOURS EVERY OTHER MONTH, NONE DURING TRADING. 5) PIWA-II, LLC - Non-voting member with limited interest. Represents PIWA-II's for certain financial services. He spends 1 hour month/week on this activity.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Franklin Stafford SR'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
August 8, 2017 - Present
PREVAIL INNOVATIVE WEALTH ADVISORS, LLC
Office #1: 4745 W. 136th Street, Leawood, KS 66224RIA
CRD#: 288641
LEAWOOD, KS
Past
July 19, 2013 - September 12, 2017
LAWING FINANCIAL INC
RIA
CRD#: 117178
OVERLAND PARK, KS
Past
May 3, 2013 - August 15, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Raymore, 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".
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(7/12/2019)
IAR
Missouri(8/18/2017)
IAR
Texas(9/27/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
