Albert Keishi Lu

Current Employers

Luma Financial

Carlsbad, CA • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2026-04-30
LA	RA	APPROVED	2026-02-05
CA	RA	APPROVED	2025-10-21
TX	RA	APPROVED_RES	2021-09-02

MA RA
APPROVED

Since 2026-04-30
LA RA
APPROVED

Since 2026-02-05
CA RA
APPROVED

Since 2025-10-21
TX RA
APPROVED_RES

Since 2021-09-02

Branch Locations

Carlsbad, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wb Advisors, Llc	The Woodlands	TX	12/2010	12/2016
Kc Hirai, Llc	The Woodlands	TX	08/2005	12/2016
Sprott U.S Media Inc	Carlsbad	CA	01/2017	05/2021
Sprott Asset Management Usa Inc	Carlsbad	CA	01/2017	07/2021
Luma Financial Llc	Calrsbad	CA	06/2021	Present
Wb Wealth Management	The Woodlands	TX	06/2011	12/2016

12/2010 → 12/2016

Wb Advisors, Llc

The Woodlands, TX
08/2005 → 12/2016

Kc Hirai, Llc

The Woodlands, TX
01/2017 → 05/2021

Sprott U.S Media Inc

Carlsbad, CA
01/2017 → 07/2021

Sprott Asset Management Usa Inc

Carlsbad, CA
06/2021 → Present

Luma Financial Llc

Calrsbad, CA
06/2011 → 12/2016

Wb Wealth Management

The Woodlands, TX

Previous Registrations

2017-02-16 → 2021-07-12

Sprott Asset Management Usa Inc.

Darien, CT
2011-06-16 → 2016-12-31

Wb Wealth Management

Houston, TX

Other Businesses

Luma Advisors LLC; Started on 06/2021; approximately 5 hours weekly during security trading hours, producing and interviewing persons for the purpose of educating the public about natural resource investing through online educational video content.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-12-02

S65 Uniform Investment Adviser Law Examination

2010-12-02

View on SEC IAPD