John M. Moody

OCALA CAPITAL

Ocala, FL 34470

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CRD#: 5474822

Professional summary

John Michael Moody, who also goes by John Michael Moody Mr., John Moody, is a registered financial advisor currently at OCALA CAPITAL, LLC located in Ocala, Florida.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. John has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Michael Moody Mr. | John 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) MOODY FINANCIAL GROUP; FIXED LIFE, ANNUITY AND HEALTH INSURANCE THROUGH FINANCIAL INDEPENDENCE GROUP. LICENSED AGENT 03/2010. 10 HRS PER WEEK. 60 HOURS PER MONTH MOODY FINANCIAL GROUP 1396 NE 20th AVE, Ocala, FL 34470; INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Moody'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®

None

Experience

Current

May 31, 2016 - Present

OCALA CAPITAL, LLC

Office #1: 1396 Ne 20th Ave. Suite 600, Ocala, FL 34470

RIA

CRD#: 174846

Ocala, FL

Past

January 31, 2014 - July 14, 2016

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

LADY LAKE, FL

Past

February 16, 2011 - July 14, 2016

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

LADY LAKE, FL

Past

March 30, 2010 - January 31, 2014

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

OCALA, FL

Past

October 2, 2009 - April 8, 2010

BROOKSTONE SECURITIES, INC.

CRD#: 13366

OCALA, FL

Past

January 14, 2008 - November 3, 2009

J.W. COLE FINANCIAL, INC.

CRD#: 124583

OCALA, FL

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.

Highlighted states indicate IAR registrations

IAR

Florida
(5/31/2016)

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.

Exams

State Security Law Exam

Series 63

Date: 4/22/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/14/2010

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 7/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/11/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OCALA CAPITAL, LLC

CRD#: 174846 / SEC#:

Florida

Registered Investment Advisory firm - (8/19/2015 Approved)

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Contact information

Main Address

1396 Ne 20th Ave. Suite 600, Ocala, FL 34470

Mailing Address

Phone number

(352) 369-0014

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	173
AUM (Assets Under Management)	$ 13,201,458

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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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's CRS (Customer Relationship Summary).

Certified licenses

Experience

OCALA CAPITAL, LLC

REGULUS FINANCIAL GROUP, LLC

REGAL INVESTMENT ADVISORS LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BROOKSTONE SECURITIES, INC.

J.W. COLE FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/22/2011

Series 65

Date: 8/14/2010

SIE

Date: 7/14/2016

Series 6

Date: 1/11/2008

Current Firm

OCALA CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OCALA CAPITAL, LLC

TRUST BUT VERIFY

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