Jason J. Lee

FOUNTAINHEAD ADVISORS

San Ramon, CA 94583

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CRD#: 5332018

Professional summary

Jason J Lee Sr., who also goes by Jason Lee, is a registered financial advisor currently at FOUNTAINHEAD ADVISORS located in San Ramon, California.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Jason has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jason 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason J Lee Sr.'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

August 14, 2023 - Present

FOUNTAINHEAD ADVISORS

Office #1: 12667 Alcosta Blvd Suite 355, San Ramon, CA 94583

RIA

CRD#: 156185

San Ramon, CA

Past

August 16, 2019 - August 16, 2023

MORGAN STANLEY

RIA

CRD#: 149777

San Francisco, CA

Past

August 16, 2019 - August 16, 2023

MORGAN STANLEY

CRD#: 149777

San Francisco, CA

Past

June 20, 2018 - August 19, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN FRANCISCO, CA

Past

June 18, 2018 - August 19, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN FRANCISCO, CA

Past

September 14, 2012 - February 22, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN FRANCISCO, CA

Past

July 2, 2012 - February 22, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN FRANCISCO, CA

Past

May 5, 2011 - June 28, 2012

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

BERKELEY, CA

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".

FOUNTAINHEAD ADVISORS

CRD#: 156185 / SEC#: 801-79472

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

Florida

Registered Investment Advisory firm - (4/9/2014 Terminated)

New York

Registered Investment Advisory firm - (4/9/2014 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

California
(8/14/2023)

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 65

Date: 9/13/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/14/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/3/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FOUNTAINHEAD ADVISORS

CRD#: 156185 / SEC#: 801-79472

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

Florida

Registered Investment Advisory firm - (4/9/2014 Terminated)

New York

Registered Investment Advisory firm - (4/9/2014 Terminated)

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Contact information

Main Address

10 Independence Blvd Suite 120, Warren, NJ 07059

Mailing Address

Phone number

(732) 346-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOUNTAINHEAD ADVISORS & FOUNTAINHEAD PRIVATE WEALTH ADV 2A JUNE 2025 (6/12/2025)

Regulatory assets under management

Total Number of Accounts	3,733
AUM (Assets Under Management)	$ 1,019,956,144

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.

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Jason J. Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason J Lee Sr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

U.S. BANCORP ADVISORS, LLC

Primary Firm SEC Registration

FOUNTAINHEAD ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2012

Series 63

Date: 5/14/2011

SIE

Date: 10/1/2018

Series 7

Date: 8/14/2012

Series 6

Date: 5/3/2011

Current Firm

FOUNTAINHEAD ADVISORS

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOUNTAINHEAD ADVISORS

TRUST BUT VERIFY

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