JA
John M. Abood
INVESTMENT MANAGEMENT & PLANNING LLC
Greenville, DE 19807
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CRD#: 2629855
JA
Professional summary
John Michael Abood, CFP® is a registered financial advisor currently at INVESTMENT MANAGEMENT & PLANNING LLC located in Greenville, Delaware and LPL FINANCIAL LLC located in Greenville, Delaware.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. John has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
1. 02/23/06 - RIA - INVESTMENT MANAGEMENT & PLANNING, LLC... 2. 07/10/2013 - DBA ONLY - INVESTMENT MANAGEMENT & PLANNING, LLC 3. 02/12/2015 - INVESTMENT MANAGEMENT & PLANNING, LLC - REGISTERED INVESTMENT ADVISOR - TIME SPENT 160 HOURS PER MONTH - GREENVILLE, DE 4. 6/18/2021 - ABOOD FINANCIAL, INC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2021 - 15 Hours Per Month During Securities Trading. 5. 04/27/2023 - Abood Financial, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/01/2022 - 35 Hours Per Month/15 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view John Michael Abood'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®
Experience
Current
January 22, 2010 - Present
INVESTMENT MANAGEMENT & PLANNING LLC
Office #1: 20 Montchanin Road Suite 270, Greenville, DE 19807RIA
CRD#: 146041
Greenville, DE
Current
April 25, 2003 - Present
LPL FINANCIAL LLC
Office #1: 20 Montchanin Rd, Ste 270, Greenville, DE 19807RIA
BD
CRD#: 6413
Greenville, DE
Past
January 1, 2005 - April 15, 2009
INVESTMENT MANAGEMENT & PLANNING LLC
RIA
CRD#: 146041
GREENVILLE, DE
Past
April 25, 2003 - September 7, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
GREENVILLE, DE
Past
April 2, 2003 - April 23, 2003
FINANCIAL HOUSE, INC.
RIA
CRD#: 123804
WILMINGTON, DE
Past
May 30, 2002 - December 31, 2002
FINANCIAL HOUSE, INC.
RIA
CRD#: 123804
WILMINGTON, DE
Past
July 21, 1998 - May 2, 2003
INDEPENDENT ADVISERS GROUP CORP
RIA
CRD#: 106684
CENTREVILLE, DE
Past
June 5, 1998 - May 1, 2003
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
July 21, 1995 - May 21, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 21, 1995 - May 21, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
IM
INVESTMENT MANAGEMENT & PLANNING LLC
INVESTMENT MANAGEMENT & PLANNING LLC
CRD#: 146041 / SEC#: 801-107553
RIA
Registered Investment Advisory firm - (4/4/2016 Approved)Delaware
Registered Investment Advisory firm - (2/27/2017 Terminated)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.RR
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
RR
Arizona(3/5/2012)
RR
California(6/4/2014)
RR
Connecticut(11/2/2005)
RR
Delaware(4/25/2003)
IAR
Delaware(1/22/2010)
RR
Florida(4/25/2003)
RR
Illinois(6/4/2014)
RR
Indiana(6/4/2014)
RR
Louisiana(3/27/2018)
RR
Maine(1/11/2021)
RR
Maryland(4/25/2003)
RR
Massachusetts(8/6/2003)
RR
Michigan(7/10/2006)
RR
Missouri(6/4/2014)
RR
New Hampshire(6/4/2014)
RR
New Jersey(4/25/2003)
RR
New York(4/21/2008)
RR
North Carolina(6/4/2014)
RR
Ohio(6/4/2014)
RR
Oregon(7/30/2018)
RR
Pennsylvania(4/25/2003)
RR
Puerto Rico(6/4/2014)
RR
South Carolina(6/2/2004)
RR
Tennessee(2/5/2021)
RR
Texas(8/6/2003)
RR
Virginia(6/4/2014)
RR
West Virginia(3/27/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IM
INVESTMENT MANAGEMENT & PLANNING LLC
INVESTMENT MANAGEMENT & PLANNING LLC
CRD#: 146041 / SEC#: 801-107553
RIA
Registered Investment Advisory firm - (4/4/2016 Approved)Delaware
Registered Investment Advisory firm - (2/27/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
20 Montchanin Road Suite 270, Greenville, DE 19807
Mailing Address
Phone number
(302) 654-5449
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 492 |
| AUM (Assets Under Management) | $ 205,167,419 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
INVESTMENT MANAGEMENT & PLANNING LLC
CRD#: 146041Greenville, DE 19807TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
