Phillip Michael Plant
Professional Summary
Phillip Michael Plant, who also goes by Phil Plant, is a registered financial advisor currently at HERNDON PLANT OAKLEY, LTD. located in Corpus Christi, Texas and SPRINGWATER ADVISORS, LLC located in Corpus Christi, Texas. Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Phillip has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE, PC,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Phil Plant
Similar Advisors
LJI WEALTH MANAGEMENT, LLC
PFS INVESTMENTS INC.
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LJI WEALTH MANAGEMENT, LLC
PFS INVESTMENTS INC.
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LJI WEALTH MANAGEMENT, LLC
PFS INVESTMENTS INC.
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LJI WEALTH MANAGEMENT, LLC
PFS INVESTMENTS INC.
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
54 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LJI WEALTH MANAGEMENT, LLC
PFS INVESTMENTS INC.
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
AMERICAN INVESTMENT SERVICES | HERNDON PLANT OAKLEY, LTD. | HERNDON PLANT OAKLEY LTD
Contact Information
Main Address
800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401Mailing Address
800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401Phone Number
(361) 888-7611Established
Texas since 01/07/1998Firm Type
PartnershipFiscal Year End
DecemberFirm Size
Small# of Employees
3SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
FINRA licenses (45 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
286AUM (Assets Under Management)
$155,401,000Similar Advisors
LJI WEALTH MANAGEMENT, LLC
PFS INVESTMENTS INC.
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LJI WEALTH MANAGEMENT, LLC
PFS INVESTMENTS INC.
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
AMERICAN INVESTMENT SERVICES | HERNDON PLANT OAKLEY, LTD. | HERNDON PLANT OAKLEY LTD
State Registrations and Notice Filings
(2/25/2011)
(10/13/1998)
(8/25/1998)
(9/23/1998)
(9/14/1998)
(8/24/1998)
(10/28/2021)
(4/1/2022)
(8/21/1998)
(8/25/1998)
(10/14/1998)
(6/8/2026)
(2/28/2023)
(9/2/1998)
(10/13/1998)
(8/28/1998)
(9/18/1998)
(10/12/1998)
(10/5/2023)
(8/25/1998)
(8/24/1998)
(10/12/1998)
(12/1/2022)
(7/7/1998)
(7/7/1998)
(7/1/1998)
(10/13/1998)
(10/13/1998)
(8/24/1998)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Aug 1982Series 1 — Registered Representative Examination
Passed Oct 1972Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 40 — Registered Principal Examination
Passed Mar 1975SRO Registrations
Similar Advisors
LJI WEALTH MANAGEMENT, LLC
PFS INVESTMENTS INC.
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Michael Plant's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Phillip Michael Plant's CRS (Customer Relationship Summary).
Similar Advisors
LJI WEALTH MANAGEMENT, LLC
PFS INVESTMENTS INC.
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC