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JK

John B. Keys

HERNDON PLANT OAKLEY, LTD.
Corpus Christi, TX 78401
Some features on this profile are disabled
CRD#: 2217794
JK

Professional summary

John Blackshear Keys is a registered financial professional currently at HERNDON PLANT OAKLEY, LTD. located in Corpus Christi, Texas.

John is registered as a RR (Registered Representative) and started their career in finance in 1992. John has worked at 4 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 27 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view John Blackshear Keys'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®
None

Experience

Current

November 1, 1998 - Present

HERNDON PLANT OAKLEY, LTD.

Office #1: 800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401
RIA
BD
CRD#: 44971
Corpus Christi, TX
Past

March 2, 1998 - October 9, 1998

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

May 12, 1992 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Colorado
(3/18/1999)
RR
Kansas
(1/12/2016)
RR
Maryland
(7/26/2023)
RR
Texas
(11/2/1998)

Exams

State Security Law Exam
RR
Series 63
Date: 3/20/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/16/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/11/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/20/2003
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/10/2001
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HP
HERNDON PLANT OAKLEY, LTD.
AMERICAN INVESTMENT SERVICES | HERNDON PLANT OAKLEY, LTD. | HERNDON PLANT OAKLEY LTD

CRD#: 44971 / SEC#: 801-55675, 8-50912

RIA
Registered Investment Advisory firm - SEC (10/9/2017 Terminated)
Florida
Registered Investment Advisory firm - SEC (9/20/2017 Approved)
Kansas
Registered Investment Advisory firm - SEC (8/31/2017 Approved)
Oklahoma
Registered Investment Advisory firm - SEC (10/9/2023 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/7/2017 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401
Mailing Address
800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401
Phone number
(361) 888-7611
Established
Texas since 01/07/1998
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
5

FINRA licenses (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
HERNDON, RUSSELL BRENTLIMITED PARTNER243993
OAKLEY, JAMES THEODORELIMITED PARTNER813008
PLANT, PHILLIP MICHAELLIMITED PARTNER364393
CORONADO, SYDNEYFINOP7542960
RAGAN, ELIZABETH BLANCHARDMANAGING DIRECTOR/DESIGNATED PRINCIPAL CHIEF COMPLIANCE OFFICER1191381

Regulatory assets under management

Total Number of Accounts268
AUM (Assets Under Management)$ 92,904,841

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.

Company Information

HERNDON PLANT OAKLEY, LTD.

CRD#: 44971Corpus Christi, TX 78401

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