Howard Lu has been President & CEO of First Wilshire Securities Management since July 2019, is a control person of the firm and directly owns between 50% and 75% of it. Howard Lu holds a Bachelor of Science in Electrical Engineering and Computer Science from the University of California at Berkeley and an MBA from The Wharton School, University of Pennsylvania.
First Wilshire Securities Management, Inc. is a Pasadena, CA firm with $415M under management, 286 clients and 6 advisers in one office, as of its May 2026 filing.
Howard Lu is President and CEO of First Wilshire. He joined First Wilshire in 2004 as a research analyst, was promoted to Portfolio Manager in 2013 and became President and CEO in 2019. Before joining the firm, he worked as an engineer for Intel Corporation and two technology startups in Silicon Valley.
Howard Lu’s longest registration is the current one, 12 years at First Wilshire Securities Management since 2014. Before joining First Wilshire Securities Management in 2014, Howard Lu was registered through First Wilshire Securities Management, Inc.
- – present · 12 yearsPasadena, CA · Adviser representative · Firm CRD 171971
- First Wilshire Securities Management, Inc.– · 9 yearsPasadena, CA · Adviser representative · Firm CRD 6609
Professional designations
Listed by First Wilshire Securities Management
- Chartered Financial Analyst (CFA®)
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Howard Lu is registered as an investment adviser representative in 26 states. The first approvals date from September 2014; the most recent are Delaware, Minnesota and New York, in January 2026.
- ArizonaSince 4 March 2021
- CaliforniaSince 12 September 2014
- ColoradoSince 4 January 2021
- ConnecticutSince 4 January 2021
- DelawareSince 18 January 2026
- District of ColumbiaSince 7 May 2021
- FloridaSince 16 March 2021
- GeorgiaSince 3 March 2021
- IllinoisSince 4 January 2021
- KentuckySince 4 January 2021
- MarylandSince 4 January 2021
- MassachusettsSince 13 May 2021
- MichiganSince 4 January 2021
- MinnesotaSince 18 January 2026
- NevadaSince 21 January 2021
- New HampshireSince 4 January 2021
- New JerseySince 23 February 2021
- New YorkSince 18 January 2026
- North CarolinaSince 4 January 2021
- OhioSince 5 January 2021
- OregonSince 4 January 2021
- PennsylvaniaSince 4 January 2021
- South CarolinaSince 4 January 2021
- TexasSince 4 January 2021
- VirginiaSince 4 January 2021
- WashingtonSince 4 January 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 55 | Limited Representative-Equity Trader Exam | 14 October 2005 |
| Series 66 | Uniform Combined State Law Examination | 7 April 2005 |
| Series 7 | General Securities Representative Examination | 24 March 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Howard Haoming Lu
- CRD
- 4927988
- Firm
- First Wilshire Securities Management · CRD 171971
- Role
- President & CEO
- Office
- 200 SOUTH LOS ROBLES AVE., SUITE 620, Pasadena, CA 91101
- Registration
- Investment adviser registration
- In the industry since
- March 2005
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- firstwilshire.com
Where does Howard Lu work?
Howard Lu has been President & CEO of First Wilshire Securities Management, Inc. since July 2019, and is a control person of the firm.
Is Howard Lu a financial advisor?
Yes. Howard Lu has a current investment-adviser registration in Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Virginia and Washington, through First Wilshire Securities Management since September 2014.
How many years of experience does Howard Lu have?
Howard Lu has 21 years in the financial industry, since March 2005, across 2 adviser firms.
What exams has Howard Lu passed?
Howard Lu has passed 3 licensing exams: the Series 7, Series 66 and Series 55. The earliest, the Series 7, was passed in March 2005. FINRA credited Howard Lu with the SIE, which began in October 2018.
Where is Howard Lu based?
Howard Lu’s registered office is in Pasadena, CA.
Is Howard Lu registered with FINRA?
No. Howard Lu has no current broker registration.
Is Howard Lu a CFP?
First Wilshire Securities Management lists Howard Lu with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Is Howard Lu a CFA charterholder?
First Wilshire Securities Management lists Howard Lu with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
How can I verify Howard Lu’s record?
Search CRD 4927988 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Howard Lu’s full registration record.
- Nicole GreenChief Operating Officer
- Nicole GreenChief Compliance Officer
Thomas HansonS.V.P.
Scott HoodChairman & CFO- William CatonPortfolio Manager