Jay Haffley has been an investment adviser representative at Prevail Innovative Wealth Advisors since November 2024, 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.
Jay Haffley’s longest registration was 8 years at Bancwest Investment Services, Inc. (Bwis) (2014–2023). Before joining Prevail Innovative Wealth Advisors in 2024, Jay Haffley was registered through LPL Financial LLC and Bancwest Investment Services, Inc. (Bwis).
- – present · 1 yearLeawood, KS · Adviser representative · Firm CRD 288641
- LPL Financial LLC– · 1 yearOklahoma City, OK · Adviser representative · Firm CRD 6413
- Bancwest Investment Services, Inc. (Bwis)– · 8 yearsEdmond, OK · Adviser representative · Firm CRD 29357
- Sii Investments, Inc.– · 3 yearsAndover, KS · Adviser representative · Firm CRD 2225
- Axa Advisors, LLC– · 1 yearWichita, KS · Adviser representative · Firm CRD 6627
- UBS Financial Services Inc.– · 6 yearsWichita, KS · Adviser representative · Firm CRD 8174
- Stifel Nicolaus & Co Inc Investment Services– · 1 yearWichita, KS · Adviser representative · Firm CRD 793
Investment adviser representative registrations
Jay Haffley is registered as an investment adviser representative in 2 states. Each was approved in November 2024.
- KansasSince 20 November 2024
- MissouriSince 21 November 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 21 November 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 October 2000 |
| Series 65 | Uniform Investment Adviser Law Examination | 4 October 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Jay Frederick Haffley
- CRD
- 4265323
- Firm
- Prevail Innovative Wealth Advisors · CRD 288641
- Office
- 4745 W. 136TH STREET, Leawood, KS 66224
- Registration
- Investment adviser registration
- In the industry since
- September 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Jay Haffley work?
Jay Haffley is an investment adviser representative registered through Prevail Innovative Wealth Advisors, LLC since November 2024, and is not listed among the firm’s executive officers or direct owners.
Is Jay Haffley a financial advisor?
Yes. Jay Haffley has a current investment-adviser registration in Kansas and Missouri, through Prevail Innovative Wealth Advisors since November 2024.
How many years of experience does Jay Haffley have?
Jay Haffley has 25 years in the financial industry, since September 2001, across 7 adviser firms.
What exams has Jay Haffley passed?
Jay Haffley has passed 3 licensing exams: the Series 65, Series 63 and Series 7. The earliest, the Series 65, was passed in October 2000. FINRA credited Jay Haffley with the SIE, which began in October 2018.
Where did Jay Haffley work before Prevail Innovative Wealth Advisors?
Before Prevail Innovative Wealth Advisors, Jay Haffley was registered through LPL Financial LLC, July 2023 to October 2024; Bancwest Investment Services, Inc. (Bwis), August 2014 to July 2023; Sii Investments, Inc., January 2011 to June 2014; Axa Advisors, LLC, April 2009 to January 2011; UBS Financial Services Inc., August 2002 to September 2008; Stifel Nicolaus & Co Inc Investment Services, February 2001 to September 2002.
Where is Jay Haffley based?
Jay Haffley’s registered office is in Leawood, KS.
Is Jay Haffley registered with FINRA?
No. Jay Haffley has no current broker registration.
How can I verify Jay Haffley’s record?
Search CRD 4265323 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Jay Haffley’s full registration record.
