Phillip M. 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, Series 1, Series 10, Series 9, Series 24, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Michael Plant's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 7, 1998 - Present
HERNDON PLANT OAKLEY, LTD.
Office #1: 800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401April 23, 2009 - Present
SPRINGWATER ADVISORS, LLC
Office #1: 800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401August 21, 1998 - Present
HERNDON PLANT OAKLEY, LTD.
Office #1: 800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401March 2, 1998 - October 9, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
October 14, 1985 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
October 24, 1972 - October 28, 1985
ROTAN MOSLE INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/25/2011)
(10/13/1998)
(8/25/1998)
(9/23/1998)
(9/14/1998)
(8/24/1998)
(7/14/2017)
(10/28/2021)
(4/1/2022)
(8/21/1998)
(8/25/1998)
(7/24/2017)
(10/14/1998)
(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)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/30/1982
AMEX Put and Call ExamSeries 1
Date: 10/7/1972
Registered Representative ExaminationSeries 40
Date: 3/28/1975
Registered Principal ExaminationFINRA
Current Firm
SPRINGWATER ADVISORS, LLC
CRD#: 150034 / SEC#: 801-70064
Contact information
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 114,481,474 |
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.
