SH
Scott W. Hood
FIRST WILSHIRE SECURITIES MANAGEMENT
Pasadena, CA 91106-3171
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CRD#: 1788066
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Professional summary
Scott William Hood is a registered financial advisor currently at FIRST WILSHIRE SECURITIES MANAGEMENT, INC. located in Pasadena, California.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Scott has worked at 4 firms and has passed the Series 63, SIE, Series 16, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. ("FWSM"), AN INVESTMENT ADVISORY FIRM REGISTERED WITH THE SEC.
SERVE AS PRESIDENT, CEO, AND INVESTMENT PORTFOLIO MANAGER.
FWSM IS LOCATED AT 1214 EAST GREEN STREET, SUITE 104, PASADENA, CA 91106.
CURRENT RELATIONSHIP START DATE OF JULY 1998
APPROXIMATELY 32.5 HOURS ARE DEVOTED TO INVESTMENT RELATED ACTIVITIES DURING TRADING HOURS EACH WEEK PLUS ADDITIONAL HOURS DURING NON US TRADING HOURS.
LAKE STREET FUND, L.P. / LAKE STREET MANAGEMENT, LLC
SERVE AS OFFICER AND MANAGER OF LAKE STREET MANAGEMENT, LLC WHICH IS THE GENERAL PARTNER OF LAKE STREET FUND, L.P.
LAKE STREET MANAGEMENT, LLC IS LOCATED AT 1214 EAST GREEN STREET, SUITE 104, PASADENA, CA 91106.
RELATIONSHIP START DATE OF AUGUST 2002.
FWSM HAS BEEN RETAINED BY LAKE STREET MANAGEMENT, LLC, TO MANAGE, ON A DISCRETIONARY BASIS, THE INVESTMENT PORTFOLIO OF THE LAKE STREET FUND, L.P.
MOUNT WILSON GLOBAL FUND, L.P. / MOUNT WILSON MANAGEMENT, LLC
SERVE AS OFFICER AND MANAGER OF MOUNT WILSON MANAGEMENT, LLC WHICH IS THE GENERAL PARTNER OF MOUNT WILSON GLOBAL FUND, L.P.
MOUNT WILSON MANAGEMENT, LLC IS LOCATED AT 1214 EAST GREEN STREET, SUITE 104, PASADENA, CA 91106.
RELATIONSHIP START DATE OF JUNE 2010.
FWSM HAS BEEN RETAINED BY MOUNT WILSON MANAGEMENT, LLC, TO MANAGE, ON A DISCRETIONARY BASIS, THE INVESTMENT PORTFOLIO OF THE MOUNT WILSON GLOBAL FUND, L.P.
FWSM,FWS,LAKE STREET MANAGEMENT, LLC, AND MOUNT WILSON MANAGEMENT, LLC ARE AFFILIATED IN THAT HOOD MAINTAINS CONTROL AND OWNERSHIP INTEREST IN EACH ENTITY.
CRS (Client Relationship Summary) - RIA
Click below to view Scott William Hood'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®
NoneExperience
Current
September 12, 2014 - Present
FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
Office #1: 1214 East Green Street Suite 104, Pasadena, CA 91106-3171RIA
CRD#: 171971
Pasadena, CA
Past
March 25, 2003 - October 28, 2014
FIRST WILSHIRE SECURITIES, INC.
RIA
CRD#: 6609
PASADENA, CA
Past
August 10, 1998 - April 2, 2018
FIRST WILSHIRE SECURITIES, INC.
BD
CRD#: 6609
PASADENA, CA
Past
January 4, 1997 - July 29, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 2, 1993 - December 11, 1996
FIRST WILSHIRE SECURITIES, INC.
BD
CRD#: 6609
PASADENA, CA
Past
July 15, 1992 - February 23, 1993
COMMONWEALTH ASSOCIATES
BD
CRD#: 20833
NEW YORK, NY
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".
FW
FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
CRD#: 171971 / SEC#: 801-15260
RIA
Registered Investment Advisory firm - (5/27/1980 Approved)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(9/12/2014)
IAR
Massachusetts(10/6/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FW
FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
CRD#: 171971 / SEC#: 801-15260
RIA
Registered Investment Advisory firm - (5/27/1980 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1214 East Green Street Suite 104, Pasadena, CA 91106-3168
Mailing Address
Phone number
(626) 796-6622
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 281 |
| AUM (Assets Under Management) | $ 374,929,393 |
Red Flags
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Company Information
FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
CRD#: 171971Pasadena, CA 91106-3171TRUST BUT VERIFY
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Contact information
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