RH
Russell B. Herndon
HERNDON PLANT OAKLEY, LTD.
Corpus Christi, TX 78401
Some features on this profile are disabled
CRD#: 243993
RH
Professional summary
Russell Brent Herndon, who also goes by Brent Herndon, is a registered financial professional currently at HERNDON PLANT OAKLEY, LTD. located in Corpus Christi, Texas.
Russell is registered as a RR (Registered Representative) and started their career in finance in 1970. Russell has worked at 6 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brent Herndon
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.
CRS (Client Relationship Summary) - BD
Click below to view Russell Brent Herndon'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®
NoneExperience
Current
August 21, 1998 - Present
HERNDON PLANT OAKLEY, LTD.
Office #1: 800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401RIA
BD
CRD#: 44971
Corpus Christi, TX
Past
August 24, 1998 - November 19, 2015
HERNDON PLANT OAKLEY, LTD.
RIA
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
September 16, 1985 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
February 15, 1977 - September 27, 1985
ROTAN MOSLE INC.
BD
CRD#: 727
Past
May 1, 1970 - March 4, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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
Alabama(11/4/2021)
RR
Arizona(10/13/1998)
RR
Arkansas(8/26/1998)
RR
California(9/23/1998)
RR
Colorado(9/14/1998)
RR
Florida(8/25/1998)
RR
Georgia(7/19/1999)
RR
Hawaii(12/6/2016)
RR
Idaho(3/14/2019)
RR
Illinois(2/11/2022)
RR
Iowa(8/15/2017)
RR
Kansas(5/26/2017)
RR
Kentucky(12/1/2004)
RR
Louisiana(10/14/1998)
RR
Maine(7/18/2025)
RR
Massachusetts(10/15/1998)
RR
Minnesota(10/13/1998)
RR
Mississippi(5/10/2017)
RR
Missouri(4/16/2002)
RR
Montana(2/9/2024)
RR
Nebraska(10/9/1998)
RR
Nevada(5/14/2021)
RR
New Jersey(2/25/2011)
RR
New Mexico(7/25/2022)
RR
New York(9/18/1998)
RR
North Carolina(10/12/1998)
RR
Ohio(11/7/2024)
RR
Oklahoma(8/25/1998)
RR
Oregon(10/9/1998)
RR
Pennsylvania(8/25/1998)
RR
Rhode Island(4/9/2015)
RR
Tennessee(6/22/2010)
RR
Texas(8/24/1998)
RR
Utah(10/15/2014)
RR
Virginia(10/13/1998)
RR
Washington(8/24/1998)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 9/6/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 4/24/1970
Registered Representative ExaminationPrincipal/Supervisory Exam
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)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 268 |
| 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.
