Phillip M. Plant

HERNDON PLANT OAKLEY, LTD.

Corpus Christi, TX 78401

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CRD#: 364393

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, Series 1, Series 10, Series 9, Series 24, Series 4 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phil Plant

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.

DECISIO HEALTH INC/CC,TX/BOARD MEMBER/INVESTMENT RELATED.STORM II DISCRETIONARY TRUST,JAMES/CC,TX/CO-TTEE/INVESTMENT RELATED.SOUTH TEXAS HEIGHTS LLC/CC,TX/INVESTMENT RELATED/MANAGING PARTNER. KYLE INVESTMENT GROUP/INVESTMENT RELATED/CC,TX/MANAGING MEMBER. MYRON RODRIGUE&JUDY RODRIGUE IRRV GST TRUST/INVESTMENT RELATED/CC,TX/CO-TTEE.PLANT FAMILY INVESTMENTS LTD/NOT INVESTMENT RELATED/CC,TX/GENERAL PARTNER.BROADMOOR EAST/INVESTMENT RELATED/CC,TX/GENERAL PARTNER. EQUINOX I/INVESTMENT RELATED/CC,TX/MANAGING PARTNER.EQUINOX USI LTD/INVESTMENT RELATED/CC,TX/GENERAL PARTNER.EAST SLOPE GP LLC/INVESTMENT RELATED/CC,TX/PRESIDENT.EAST SLOPE LP/INVESTMENT RELATED/CC,TX/GENERAL PARTNER.CEDAR PARK GROUP LLC/INVESTMENT RELATED/CC,TX/MANAGING PARTNER. DECLATEX LLC/CO-MANAGER-PRESIDENT/INVESTMENT RELATED/ CC,TX. DECLATEX LLC II/ CO-MANAGER-PRESIDENT/INVESTMENT RELATED/CC,TX. DECLATEX LLC III/CO-MANAGER-PRESIDENT/INVESTMENT RELATED/CC,TX. DOUGLASVILLE PAVILION EQUITY GROUP LLC/CO-MANAGING MEMBER/INVESTMENT RELATED/CC,TX. PF GEORGIA LLC/CO-MANAGING MEMBER/INVESTMENT RELATED/CC,TX. FLUX POWER INC/AGENT-SOLICITOR/INVESTMENT RELATED/VISTA,CA. AINBINDER DOUGLASVILLE LLC/AGENT-SOLICITOR/INVESTMENT RELATED/ HOUSTON,TX. CLEVELAND CAPITAL LP/AGENT-SOLICITOR/INVESTMENT RELATED/ ROCKY RIVER, OH. KIF GP LLC/MANAGER/INVESTMENT RELATED/CORPUS CHRISTI TX. SCC KYLE PARTNERS LTD/MANAGER OF GP/INVESTMENT RELATED/CORPUS CHRISTI TX. SPRINGHILL INVESTMENT PARTNERS LP/MANAGER OF GP/INVESTMENT RELATED/CORPUS CHRISTI TX. SPRINGHILL INVESTMENT PARTNERS GP LLC/MANAGER OF GP/INVESTMENT RELATED/CORPUS CHRISTI TX. SPRINGHILL INVESTMENT PARTNERS II LP/MANAGER OF GP/INVESTMENT RELATED/CORPUS CHRISTI TX. SPRINGHILL INVESTMENT PARTNERS II GP LLC/MANAGER OF GP/ INVESTMENT RELATED/CORPUS CHRISTI TX. EAST HIGHPOINT MANAGEMENT LLC/MANAGER OF LLC/INVESTMENT RELATED/CORPUS CHRISTI TX. HIGHPOINT MIDSTREAM LLC/MANAGER OF LLC/INVESTMENT RELATED/SAN ANTONIO TX. EAST HIGHPOINT MANAGEMENT LLC/INVESTMENT RELATED/CORPUS CHRISTI, TX. CCP ESPORT FUND LLP/INVESTMENT RELATED//CORPUS CHRISTI, TX. WBE INVESTMENTS/INVESTMENT RELATED/1-2 HOURS MONTHLY/CORPUS CHRISTI TX. EAST HIGHPOINT INVESTMENT PARTNERS II LLC/INVESTMENT RELATED/MANAGER OF LLC/1-3 HOURS MONTHLY/CORPUS CHRISTI TX.

Blog Corner

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).

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

July 7, 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

Current

April 23, 2009 - Present

SPRINGWATER ADVISORS, LLC

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

RIA

CRD#: 150034

Corpus Christi, TX

Current

August 21, 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

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

October 14, 1985 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

October 24, 1972 - October 28, 1985

ROTAN MOSLE INC.

CRD#: 727

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(2/25/2011)

Arizona
(10/13/1998)

Arkansas
(8/25/1998)

California
(9/23/1998)

Colorado
(9/14/1998)

Florida
(8/24/1998)

IAR

Florida
(7/14/2017)

Georgia
(10/28/2021)

Hawaii
(4/1/2022)

Illinois
(8/21/1998)

Kansas
(8/25/1998)

IAR

Kansas
(7/24/2017)

Louisiana
(10/14/1998)

Maryland
(2/28/2023)

Nevada
(9/2/1998)

New Jersey
(10/13/1998)

New Mexico
(8/28/1998)

New York
(9/18/1998)

North Carolina
(10/12/1998)

Ohio
(10/5/2023)

Oklahoma
(8/25/1998)

Oregon
(8/24/1998)

South Carolina
(10/12/1998)

Tennessee
(12/1/2022)

Texas
(7/7/1998)

IAR

Texas
(7/7/1998)

Utah
(7/1/1998)

Vermont
(10/13/1998)

Virginia
(10/13/1998)

Washington
(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

State Security Law Exam

IAR

Series 65

Date: 4/21/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/12/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 8/30/1982

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 10/7/1972

Registered Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/30/1982

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 3/28/1975

Registered Principal 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

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.

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Advisor Monitoring

Firm Stability Insights

Phillip M. Plant

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

SPRINGWATER ADVISORS, LLC

HERNDON PLANT OAKLEY, LTD.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

ROTAN MOSLE INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/21/1997

Series 63

Date: 5/12/1992

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 8/30/1982

Series 1

Date: 10/7/1972

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 1/2/2023

Series 4

Date: 8/30/1982

Series 40

Date: 3/28/1975

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

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