Michael P. Lu

NAV MANAGEMENT LLC

Whippany, NJ

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CRD#: 4738210

Professional summary

Michael P Lu, who also goes by Michael Ping Lu, Michael Lu, Mike Lu, is a registered financial advisor currently at NAV MANAGEMENT LLC located in Whippany, New Jersey.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Michael has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Ping Lu | Michael Lu | Mike Lu

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.

Investment Advisory Representative; Agent at Spirit of America Management Corporation, an affiliated company PM Global - Real Estate Company

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael P Lu'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®

None

Experience

Current

January 26, 2021 - Present

NAV MANAGEMENT LLC

RIA

CRD#: 269834

Whippany, NJ

Past

July 6, 2018 - January 14, 2019

SPIRIT OF AMERICA MANAGEMENT CORP

RIA

CRD#: 110023

Teaneck, NJ

Past

May 16, 2016 - January 14, 2019

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

TEANECK, NJ

Past

July 28, 2015 - November 12, 2015

NAV MANAGEMENT LLC

RIA

CRD#: 269834

WHIPPANY, NJ

Past

January 29, 2013 - October 23, 2014

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

January 24, 2013 - October 23, 2014

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

March 8, 2007 - June 14, 2011

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

KINNELON, NJ

Past

March 8, 2007 - June 14, 2011

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

KINNELON, NJ

Past

March 21, 2006 - January 25, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FLORHAM PARK, NJ

Past

December 2, 2005 - January 25, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FLORHAM PARK, NJ

Past

March 11, 2004 - August 18, 2004

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

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

New Jersey
(1/26/2021)

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 66

Date: 3/16/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/10/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NAV MANAGEMENT LLC

CRD#: 269834 / SEC#: 801-100398

New Jersey

Registered Investment Advisory firm - (7/28/2015 Approved)

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Contact information

Main Address

Whippany, NJ

Mailing Address

Phone number

(201) 467-8300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

NAV ADV (7/25/2015)

NAV MANAGEMENT (7/24/2015)

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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Advisor Monitoring

Firm Stability Insights

Michael P. Lu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael P Lu's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPIRIT OF AMERICA MANAGEMENT CORP

DAVID LERNER ASSOCIATES, INC.

NAV MANAGEMENT LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CETERA WEALTH SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/10/2005

Series 6

Date: 3/10/2004

Current Firm

NAV MANAGEMENT LLC

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

NAV MANAGEMENT LLC

TRUST BUT VERIFY

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