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200 South Los Robles Ave. Suite 620, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2026-01-18 |
| MN | RA | APPROVED | 2026-01-18 |
| NY | RA | APPROVED | 2026-01-18 |
| MA | RA | APPROVED | 2021-05-13 |
| DC | RA | APPROVED | 2021-05-07 |
| FL | RA | APPROVED | 2021-03-16 |
| AZ | RA | APPROVED | 2021-03-04 |
| GA | RA | APPROVED | 2021-03-03 |
| NJ | RA | APPROVED | 2021-02-23 |
| NV | RA | APPROVED | 2021-01-21 |
| OH | RA | APPROVED | 2021-01-05 |
| CO | RA | APPROVED | 2021-01-04 |
| CT | RA | APPROVED | 2021-01-04 |
| IL | RA | APPROVED | 2021-01-04 |
| KY | RA | APPROVED | 2021-01-04 |
| MD | RA | APPROVED | 2021-01-04 |
| MI | RA | APPROVED | 2021-01-04 |
| NH | RA | APPROVED | 2021-01-04 |
| NC | RA | APPROVED | 2021-01-04 |
| OR | RA | APPROVED | 2021-01-04 |
| PA | RA | APPROVED | 2021-01-04 |
| SC | RA | APPROVED | 2021-01-04 |
| TX | RA | APPROVED | 2021-01-04 |
| VA | RA | APPROVED | 2021-01-04 |
| WA | RA | APPROVED | 2021-01-04 |
| CA | RA | APPROVED | 2014-09-12 |
Branch Locations
200 South Los Robles Ave. Suite 620, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Wilshire Securities Management, Inc. | Pasadena | CA | 11/2004 | Present |
Mr. Lu serves as an owner and officer of Lake Street Management, LLC and Mount Wilson Management, LLC, which serve as the general partner to Lake Street Fund, L.P. and Mount Wilson Global Fund, L.P., respectively. These entities are affiliated with First Wilshire Securities Management, Inc. Mr. Lu maintains a controlling ownership interest in the management entities. Less than 10% of Mr. Lu's time is spent on these activities.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-04-07 |
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