Andy Holmes has been an investment adviser representative at Prevail Innovative Wealth Advisors since January 2026, and is not listed among the firm’s executive officers or direct owners.
Prevail Innovative Wealth Advisors, LLC is a Leawood, KS firm with $932M under management, 822 clients and 31 advisers across 3 offices, as of its September 2026 filing.
Andy Holmes advises high-net-worth families and business owners on complex wealth strategies and has over 20 years of experience. He helps clients simplify financial decisions, plan for liquidity events and build multi-generational wealth. He works with a network of professionals in a coordinated, family office-style approach covering succession planning, tax strategies, retirement income and estate planning.
Andy Holmes’ longest registration was 3 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2022–2026). Before joining Prevail Innovative Wealth Advisors in 2026, Andy Holmes was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- – present · under a yearLeawood, KS · Adviser representative · Firm CRD 288641
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 3 yearsKansas City, MO · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Andy Holmes is registered as an investment adviser representative in 2 states. Each was approved in January 2026.
- KansasSince 2 January 2026
- MissouriSince 2 January 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 15 June 2022 |
| Series 7TO | General Securities Representative Examination | 2 May 2022 |
| SIE | Securities Industry Essentials Examination | 4 March 2022 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Andy J Holmes
- CRD
- 6310142
- Firm
- Prevail Innovative Wealth Advisors · CRD 288641
- Office
- 4745 W. 136TH STREET, Leawood, KS 66224
- Registration
- Investment adviser registration
- In the industry since
- May 2022
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- prevailiws.com
Where does Andy Holmes work?
Andy Holmes is an investment adviser representative registered through Prevail Innovative Wealth Advisors, LLC since January 2026, and is not listed among the firm’s executive officers or direct owners.
Is Andy Holmes a financial advisor?
Yes. Andy Holmes has a current investment-adviser registration in Kansas and Missouri, through Prevail Innovative Wealth Advisors since January 2026.
How many years of experience does Andy Holmes have?
Andy Holmes has 4 years in the financial industry, since May 2022, across 2 adviser firms.
What exams has Andy Holmes passed?
Andy Holmes has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in March 2022.
Where did Andy Holmes work before Prevail Innovative Wealth Advisors?
Before Prevail Innovative Wealth Advisors, Andy Holmes was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, June 2022 to January 2026.
Where is Andy Holmes based?
Andy Holmes’ registered office is in Leawood, KS.
Is Andy Holmes registered with FINRA?
No. Andy Holmes has no current broker registration.
How can I verify Andy Holmes’ record?
Search CRD 6310142 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Andy Holmes’ full registration record.
