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Jay Lee

Jay Lee

BALLASTER FINANCIAL
Jersey City, NJ
Some features on this profile are disabled
CRD#: 4973447
Jay Lee

Professional summary

Jay Lee, CFP®, who also goes by Jay Won Lee, is a registered financial advisor currently at BALLASTER FINANCIAL located in Jersey City, New Jersey and ORIGIN INVESTMENT ADVISORY LLC located in Jersey City, New Jersey.

Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Jay has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Biography

Based in Jersey City, serving clients nationwide
top-8-questions

Question & Answer

What are your service offerings?
Comprehensive Financial Planni...
Investment Planning
Do you have an area of expertise or specialization?
Alternative or Private Investm...
AUM
Business Owners
Cash Flow/Budgets/Credit Issue...
Charitable Giving
Entrepreneurs
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes

Aliases

Jay Won Lee

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.
Ballaster Financial, LLC; Investment-Related; Jersey City, NJ; Investment Adviser; Investment Adviser Representative; �October 2021; Approx. 150 hours/month; Approx. 150 hours/month during trading hours; Provide investment advice and/or financial planning. Jay Lee is an independent contractor, registered (Nov 2021) as an investment adviser rep with Origin Financial to provide financial planning. Jay Lee spends up to 10 hours per week on this activity. Additional information regarding this arrangement is disclosed in Item 10 of Part 2A.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Lee'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®
CFP®

Certified Financial Planner

Start date: 2016

Experience

Current

October 18, 2021 - Present

BALLASTER FINANCIAL

RIA
CRD#: 316668
Jersey City, NJ
Current

November 29, 2021 - Present

ORIGIN INVESTMENT ADVISORY LLC

RIA
CRD#: 305353
JERSEY CITY, NJ
Past

April 29, 2021 - October 5, 2021

B|O|S

RIA
CRD#: 110496
SAN FRANCISCO, CA
Past

February 26, 2015 - March 23, 2021

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

February 26, 2015 - March 23, 2021

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

June 27, 2014 - February 25, 2015

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

January 21, 2014 - February 25, 2015

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY

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
California
(5/15/2023)
IAR
New Jersey
(10/18/2021)
IAR
New York
(3/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/2014
General Securities Representative Examination

Current Firm

BALLASTER FINANCIAL
BALLASTER FINANCIAL
BALLASTER FINANCIAL | BALLASTER FINANCIAL LLC

CRD#: 316668 / SEC#:

California
Registered Investment Advisory firm - (5/15/2023 Approved)
New Jersey
Registered Investment Advisory firm - (10/18/2021 Approved)
New York
Registered Investment Advisory firm - (3/3/2023 Approved)
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Contact information

Main Address
Jersey City, NJ
Mailing Address
Phone number
(973) 544-8061
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts104
AUM (Assets Under Management)$ 10,977,449

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.

Company Information

BALLASTER FINANCIAL

BALLASTER FINANCIAL

CRD#: 316668Jersey City, NJ

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Contact information

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