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JOHN MICHAEL MOODY SR
JOHN MICHAEL MOODY
CRD#: 1282839
IA
Investment Adviser
B
Broker
ON INVESTMENT MANAGEMENT COCRD#: 105662 PALOS VERDES ESTATES, CA
THE O.N. EQUITY SALES COMPANYCRD#: 2936 PALOS VERDES ESTATES, CA
Registration History
1985199019952000200520102015202020252 FIRMS1999 - 2005 (6 years)2 FIRMS2005 - 2006 (<1 year)2 FIRMS2006 - 2013 (7 years)2 FIRMS2013 - Present (11 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1995 - 1999 (3 years)BTRANSAMERICA FINANCIAL RESOURC... (CRD# 3600)1995 - 1995 (<1 year)BNYLIFE SECURITIES INC. (CRD# 5167)1994 - 1995 (<1 year)BAETNA INVESTMENT SERVICES, INC. (CRD# 34815)1994 - 1994 (<1 year)BMML INVESTORS SERVICES, INC. (CRD# 10409)1984 - 1994 (10 years)
License(s)

State Registrations

B
California 7/1/2013

IA
California 7/30/2013

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ON INVESTMENT MANAGEMENT CO (CRD#:105662)
PALOS VERDES ESTATES, CA
Registered with this firm since 7/30/2013

B
THE O.N. EQUITY SALES COMPANY (CRD#:2936)
PALOS VERDES ESTATES, CA
PALOS VERDES ESTATES, CA
Registered with this firm since 7/1/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/01/2006 - 07/05/2013 MML INVESTORS SERVICES, LLC (CRD#:10409) PALOS VERDES ESTATES, CA
B
06/21/2006 - 07/05/2013 MML INVESTORS SERVICES, LLC (CRD#:10409) PALOS VERDES ESTATES, CA
IA
08/15/2005 - 04/25/2006 USI SECURITIES, INC. (CRD#:43793) TORRANCE, CA
B
08/15/2005 - 04/25/2006 USI SECURITIES, INC. (CRD#:43793) TORRANCE, CA
IA
07/16/1999 - 08/01/2005 MML INVESTORS SERVICES, INC. (CRD#:10409) PALOS VERDESS ESTATES, CA
B
07/08/1999 - 08/01/2005 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
B
10/03/1995 - 06/08/1999 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
08/14/1995 - 09/25/1995 TRANSAMERICA FINANCIAL RESOURCES, INC. (CRD#:3600) LOS ANGELES, CA
B
11/16/1994 - 09/11/1995 NYLIFE SECURITIES INC. (CRD#:5167) NEW YORK, NY
B
09/28/1994 - 10/17/1994 AETNA INVESTMENT SERVICES, INC. (CRD#:34815) WINDSOR, CT
B
10/26/1984 - 10/11/1994 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.