Michael P. Lu
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael P Lu, who also goes by Michael Ping Lu, Michael Lu, Mike Lu, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2021 - December 31, 2025
NAV MANAGEMENT LLC
July 6, 2018 - January 14, 2019
SPIRIT OF AMERICA MANAGEMENT CORP
May 16, 2016 - January 14, 2019
DAVID LERNER ASSOCIATES, INC.
July 28, 2015 - November 12, 2015
NAV MANAGEMENT LLC
January 29, 2013 - October 23, 2014
HSBC SECURITIES (USA) INC.
January 24, 2013 - October 23, 2014
HSBC SECURITIES (USA) INC.
March 8, 2007 - June 14, 2011
PNC WEALTH MANAGEMENT LLC
March 8, 2007 - June 14, 2011
PNC WEALTH MANAGEMENT LLC
March 21, 2006 - January 25, 2007
CITIGROUP GLOBAL MARKETS INC.
December 2, 2005 - January 25, 2007
CITIGROUP GLOBAL MARKETS INC.
March 11, 2004 - August 18, 2004
CETERA WEALTH SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NAV MANAGEMENT LLC
CRD#: 269834 / SEC#: 801-100398
Contact information
Red Flags
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