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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst12 years in industry

Jay Lee

Advisor at BALLASTER FINANCIAL

JERSEY CITY, NJ

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Search this name across graphsid dfx:ria:342e0c18-7da9-44eb-4097-64be7e548c72

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 27, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BALLASTER FINANCIAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 4, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner|Chartered Financial Analyst
Exams: S63
First exam: Mar 4, 2014
First registration: Jun 27, 2014
Dual registered: no
Other names: JAY WON LEE
IAPD individual key: 4973447

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BALLASTER FINANCIAL	State registered	Oct 18, 2021	n/a	yes	JERSEY CITY, NJ	Current employment
ORIGIN INVESTMENT ADVISORY LLC	Independent wealth	Nov 29, 2021	Jan 20, 2026	no	JERSEY CITY, NJ\|SARASOTA, FL	Previous registration
B\|O\|S	Former SEC adviser	Apr 29, 2021	Oct 5, 2021	no	SAN FRANCISCO, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 26, 2015	Mar 23, 2021	no	NEW YORK, NY	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	Jun 27, 2014	Feb 25, 2015	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ORIGIN INVESTMENT ADVISORY LLC	n/a	Jan 20, 2026	n/a	n/a	Departure no registered destination	Departure
B\|O\|S	BALLASTER FINANCIAL	Oct 5, 2021	Oct 18, 2021	13	Firm change	RIA to state RIA
UBS FINANCIAL SERVICES INC.	B\|O\|S	Mar 23, 2021	Apr 29, 2021	37	Firm change	Wirehouse to RIA
NEUBERGER BERMAN BD LLC	UBS FINANCIAL SERVICES INC.	Feb 25, 2015	Feb 26, 2015	1	Firm change	Other

Relationships

Registered with (5)

→ BALLASTER FINANCIALRegistered adviserregistration: current employment
Oct 18, 2021 to presentfactForm ADV
→ ORIGIN INVESTMENT ADVISORY LLCRegistered adviserregistration: previous registration
Nov 29, 2021 to Jan 20, 2026factForm ADV
→ B|O|SRegistered adviserregistration: previous registration
Apr 29, 2021 to Oct 5, 2021factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 26, 2015 to Mar 23, 2021factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Jun 27, 2014 to Feb 25, 2015factForm ADV

Dated events

Occurred
Jan 20, 2026
Advisor departed, no destination yet
Jay Lee no longer registered at Origin Investment Advisory Llc; no later IA registration on IAPD
Form ADVobserved 6 days ago