John M. Moody

ON INVESTMENT MANAGEMENT CO

PALOS VERDES ESTATES, CA

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CRD#: 1282839

Professional summary

John Michael Moody SR, CFP®, who also goes by John Michael Moody, is a registered financial advisor currently at ON INVESTMENT MANAGEMENT CO located in Palos Verdes Estates, California and THE O.N. EQUITY SALES COMPANY located in Palos Verdes Estates, California.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Michael Moody

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.

1) JOHN MICHAEL MOODY; NOT INVESTMENT RELATED; P O BOX 818 PALOS VERDES ESTATES CA 90274; LIFE, HEALTH, GROUP LIFE, GROUP HEALTH, PROPERTY/CASUALTY; OWNER, SALES, AGENT; START DATE: 10/01/1983; NO. HR/MO: 200 NO. HR/MO DURING SEC TRADING: 200; SALES & SERVICE. 2). John Moody; Not investment related; 3510 Torrance Blvd #305, Torrance, CA 90503; Consultant; 05/01/2019-present; 10 hours/month (10 during securities trading hours); providing historical research on life insurance policies owned by a customer.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Moody SR's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

July 30, 2013 - Present

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

PALOS VERDES ESTATES, CA

Current

July 1, 2013 - Present

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

PALOS VERDES ESTATES, CA

Past

November 1, 2006 - July 5, 2013

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

PALOS VERDES ESTATES, CA

Past

June 21, 2006 - July 5, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

PALOS VERDES ESTATES, CA

Past

August 15, 2005 - April 25, 2006

USI SECURITIES, INC.

RIA

CRD#: 43793

TORRANCE, CA

Past

August 15, 2005 - April 25, 2006

USI SECURITIES, INC.

CRD#: 43793

TORRANCE, CA

Past

July 16, 1999 - August 1, 2005

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

PALOS VERDESS ESTATES, CA

Past

July 8, 1999 - August 1, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

October 3, 1995 - June 8, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

August 14, 1995 - September 25, 1995

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

November 16, 1994 - September 11, 1995

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

September 28, 1994 - October 17, 1994

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

October 26, 1984 - October 11, 1994

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

ON INVESTMENT MANAGEMENT CO

CRD#: 105662 / SEC#: 801-7941

RIA

Registered Investment Advisory firm - (11/14/1971 Approved)

Alabama

Registered Investment Advisory firm - (4/15/2002 Terminated)

District of Columbia

Registered Investment Advisory firm - (2/9/2001 Terminated)

Georgia

Registered Investment Advisory firm - (4/15/2002 Terminated)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Maine

Registered Investment Advisory firm - (4/19/2002 Terminated)

Maryland

Registered Investment Advisory firm - (4/15/2002 Terminated)

Michigan

Registered Investment Advisory firm - (1/8/2002 Terminated)

North Carolina

Registered Investment Advisory firm - (4/15/2002 Terminated)

South Carolina

Registered Investment Advisory firm - (4/15/2002 Terminated)

West Virginia

Registered Investment Advisory firm - (1/31/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/1/2013)

IAR

California
(7/30/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/8/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/9/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/22/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/23/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/14/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ON INVESTMENT MANAGEMENT CO

CRD#: 105662 / SEC#: 801-7941

RIA

Registered Investment Advisory firm - (11/14/1971 Approved)

Alabama

Registered Investment Advisory firm - (4/15/2002 Terminated)

District of Columbia

Registered Investment Advisory firm - (2/9/2001 Terminated)

Georgia

Registered Investment Advisory firm - (4/15/2002 Terminated)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Maine

Registered Investment Advisory firm - (4/19/2002 Terminated)

Maryland

Registered Investment Advisory firm - (4/15/2002 Terminated)

Michigan

Registered Investment Advisory firm - (1/8/2002 Terminated)

North Carolina

Registered Investment Advisory firm - (4/15/2002 Terminated)

South Carolina

Registered Investment Advisory firm - (4/15/2002 Terminated)

West Virginia

Registered Investment Advisory firm - (1/31/2002 Terminated)

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Contact information

Main Address

One Financial Way, Cincinnati, OH 45242

Mailing Address

P.o. Box 371, Cincinnati, OH 45201-0371

Phone number

(855) 262-0913

Established

Firm type

Fiscal year end

# of Employees

3,193

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ONIMCO-52 FIRM BROCHURE ADV 2A 05-14-2025 (5/14/2025)

ONIMCO-52 FIRM BROCHURE ADV 2A 03-26-2025 (5/14/2025)

Regulatory assets under management

Total Number of Accounts	12,053
AUM (Assets Under Management)	$ 2,376,953,646

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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Firm Stability Insights

John M. Moody

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Moody SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE O.N. EQUITY SALES COMPANY

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

USI SECURITIES, INC.

USI SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

NYLIFE SECURITIES LLC

VOYA FINANCIAL PARTNERS, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

ON INVESTMENT MANAGEMENT CO

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/1997

Series 63

Date: 1/9/1995

SIE

Date: 10/1/2018

Series 7

Date: 12/9/1997

Series 6

Date: 10/22/1984

Series 24

Date: 11/23/1998

Series 26

Date: 3/14/1997

FINRA

Current Firm

ON INVESTMENT MANAGEMENT CO

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ON INVESTMENT MANAGEMENT CO

TRUST BUT VERIFY

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