Andy J. Holmes

PREVAIL INNOVATIVE WEALTH ADVISORS

Leawood, KS 66224

Some features on this profile are disabled

CRD#: 6310142

Professional summary

Andy J Holmes, who also goes by Andy J Holmes, Andy Jeff Holmes Jr., is a registered financial advisor currently at PREVAIL INNOVATIVE WEALTH ADVISORS, LLC located in Leawood, Kansas.

Andy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Andy has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andy J Holmes | Andy Jeff Holmes Jr.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andy J Holmes'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

January 2, 2026 - Present

PREVAIL INNOVATIVE WEALTH ADVISORS, LLC

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

RIA

CRD#: 288641

Leawood, KS

Past

June 28, 2022 - January 2, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

KANSAS CITY, MO

Past

May 2, 2022 - January 2, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

KANSAS CITY, 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
(1/2/2026)

IAR

Missouri
(1/2/2026)

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

IAR

Series 66

Date: 6/15/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/2/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/4/2022

Securities Industry Essentials 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)

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

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 (1/26/2026)

PREVAIL INNOVATIVE WEALTH ADVISORS ADV PART 2A FIRM BROCHURE (1/26/2026)

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.

Similar Advisors

Rahul Nair

WELLS FARGO SECURITIES, LLC

CHARLOTTE, NC

Ryan Perry

FALCON WEALTH PLANNING, INC.

IAR

ONTARIO, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Andy J. Holmes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andy J Holmes's CRS (Customer Relationship Summary).

Certified licenses

Experience

PREVAIL INNOVATIVE WEALTH ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PREVAIL INNOVATIVE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/15/2022

Series 7TO

Date: 5/2/2022

SIE

Date: 3/4/2022

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

Similar Advisors