John M. Abood

INVESTMENT MANAGEMENT & PLANNING

Greenville, DE 19807

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CRD#: 2629855

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Abood'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

January 22, 2010 - Present

INVESTMENT MANAGEMENT & PLANNING LLC

Office #1: 20 Montchanin Road Suite 270, Greenville, DE 19807

RIA

CRD#: 146041

Greenville, DE

Current

April 25, 2003 - Present

LPL FINANCIAL LLC

Office #1: 20 Montchanin Rd, Ste 270, Greenville, DE 19807

RIA

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.

CRD#: 3870

FORT WAYNE, IN

Past

July 21, 1995 - May 21, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 21, 1995 - May 21, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

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".

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)

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

Arizona
(3/5/2012)

California
(6/4/2014)

Connecticut
(11/2/2005)

Delaware
(4/25/2003)

IAR

Delaware
(1/22/2010)

Florida
(4/25/2003)

Illinois
(6/4/2014)

Indiana
(6/4/2014)

Louisiana
(3/27/2018)

Maine
(1/11/2021)

Maryland
(4/25/2003)

Massachusetts
(8/6/2003)

Michigan
(7/10/2006)

Missouri
(6/4/2014)

New Hampshire
(6/4/2014)

New Jersey
(4/25/2003)

New York
(4/21/2008)

North Carolina
(6/4/2014)

Ohio
(6/4/2014)

Oregon
(7/30/2018)

Pennsylvania
(4/25/2003)

Puerto Rico
(6/4/2014)

South Carolina
(6/2/2004)

Tennessee
(2/5/2021)

Texas
(8/6/2003)

Virginia
(6/4/2014)

West Virginia
(3/27/2018)

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: 8/3/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/1995

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: 7/20/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESTMENT MANAGEMENT & PLANNING ADV PART 2A - WRAP BROCHURE (3/7/2025)

INVESTMENT MANAGEMENT & PLANNING - ADV PART 2A (3/7/2025)

Regulatory assets under management

Total Number of Accounts	492
AUM (Assets Under Management)	$ 205,167,419

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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John M. Abood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

INVESTMENT MANAGEMENT & PLANNING LLC

LPL FINANCIAL LLC

INVESTMENT MANAGEMENT & PLANNING LLC

LPL FINANCIAL LLC

FINANCIAL HOUSE, INC.

FINANCIAL HOUSE, INC.

INDEPENDENT ADVISERS GROUP CORP

OSAIC FS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

INVESTMENT MANAGEMENT & PLANNING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/3/1995

Series 63

Date: 7/28/1995

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1995

Series 24

Date: 10/9/2008

FINRA

Current Firm

INVESTMENT MANAGEMENT & PLANNING LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTMENT MANAGEMENT & PLANNING LLC

TRUST BUT VERIFY

Contact information

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