JH
JH
Jay Haffley
24 Years of Experience
Leawood, KS
4 DisclosuresMay Earn CommissionSells Insurance
Jay Haffley is a registered investment advisor at Prevail Innovative Wealth Advisors, LLC, based in Leawood, KS, with 24 years of industry experience. Their practice areas include Education Planning, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 769 clients with $820M in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
31 advisors
Number of Clients
769 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$815.4M
Fee Structure
Minimum Investment:None
Planning is included in investment management
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $100K | 1.50% |
| $100K - $250K | 1.40% |
| $250K - $500K | 1.30% |
| $500K - $750K | 1.20% |
| $750K - $1000K | 1.10% |
| $1000K - $3.0M | 1.00% |
| $3.0M - $5.0M | 0.85% |
| $5M+ | 0.70% |
Fees are negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
4745 W. 136th Street, Leawood, KS, 66224
Get directionsHistory
Regulatory History (4)
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Financial
November 2018Final
Financial
November 2018Final
Financial
December 2016Final
Customer Dispute
May 2011Settled
Other Business ActivitiesSells Insurance
Jay is licensed to sell life and health insurance.
Employment History
Current Registrations
Prevail Innovative Wealth Advisors, LLC
November 2024 - Present · 1 yr 6 mos
Previous Registrations
LPL Financial LLCBroker
July 2023 - October 2024 · 1 yr 3 mos
LPL Financial LLC
July 2023 - October 2024 · 1 yr 3 mos
Bancwest Investment Services, INC.Broker
August 2014 - July 2023 · 8 yrs 11 mos
Bancwest Investment Services, INC. (bwis)
August 2014 - July 2023 · 8 yrs 11 mos
Sii Investments, INC.
January 2011 - June 2014 · 3 yrs 5 mos
Sii Investments, INC.Broker
January 2011 - June 2014 · 3 yrs 5 mos
AXA Advisors, LLC
April 2009 - January 2011 · 1 yr 9 mos
AXA Advisors, LLCBroker
April 2009 - January 2011 · 1 yr 9 mos
UBS Financial Services INC.
August 2002 - September 2008 · 6 yrs 1 mo
UBS Financial Services INC.Broker
August 2002 - September 2008 · 6 yrs 1 mo
Stifel Nicolaus & CO INC Investment Services
February 2001 - September 2002 · 1 yr 7 mos
Stifel, Nicolaus & Company, IncorporatedBroker
November 2000 - September 2002 · 1 yr 10 mos
State Registrations3 states
KSMOOK
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.