Robert R. Herndon

HERNDON PLANT OAKLEY, LTD.

Corpus Christi, TX 78401

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CRD#: 2637084

Professional summary

Robert Reagan Herndon, who also goes by Robby Herndon, is a registered financial professional currently at HERNDON PLANT OAKLEY, LTD. located in Corpus Christi, Texas.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1995. Robert has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robby 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.

HORSEPLAYERS RACING CLUB LLC, LIMITED PARTNER, NON-INVESTMENT, 17701 108TH AVE SE, STE 219, RENTON, WA 98055, STARTED 1/2008, APPRX 3 HOURS/WEEK, 0 HOURS DURING TRADING HOURS. RESPONSIBILITES INCLUDE RESEARCH AND EVALUATION OF RACEHORSES THAT ARE IN THE BEST INTEREST OF ALL PARTNERS AND TO PAY PORTION OF THE EXPENSES INVOLVED IN THE OWNERSHIP WITH THEM.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Reagan Herndon'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

October 19, 1998 - Present

HERNDON PLANT OAKLEY, LTD.

Office #1: 800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401

RIA

CRD#: 44971

Corpus Christi, TX

Past

October 20, 1998 - October 8, 2024

HERNDON PLANT OAKLEY, LTD.

RIA

CRD#: 44971

CORPUS CHRISTI, TX

Past

March 2, 1998 - October 9, 1998

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

November 6, 1995 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

State Registrations and Notice Filings

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

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

Texas
(10/21/1998)

Exams

State Security Law Exam

Series 63

Date: 10/5/1995

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: 11/3/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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).

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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

FINRA licenses (45 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HERNDON, RUSSELL BRENT	LIMITED PARTNER	243993
OAKLEY, JAMES THEODORE	LIMITED PARTNER	813008
PLANT, PHILLIP MICHAEL	LIMITED PARTNER	364393
CORONADO, SYDNEY	FINOP	7542960
RAGAN, ELIZABETH BLANCHARD	MANAGING DIRECTOR/DESIGNATED PRINCIPAL CHIEF COMPLIANCE OFFICER	1191381

Regulatory assets under management

Total Number of Accounts	268
AUM (Assets Under Management)	$ 92,904,841

Red Flags

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Contact information

xxxxx@xxxx.xxx

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Robert R. Herndon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Reagan Herndon's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERNDON PLANT OAKLEY, LTD.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/5/1995

SIE

Date: 10/1/2018

Series 7

Date: 11/3/1995

FINRA

Current Firm

HERNDON PLANT OAKLEY, LTD.

Contact information

FINRA licenses (45 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

HERNDON PLANT OAKLEY, LTD.

TRUST BUT VERIFY

Contact information

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