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CR

Charles P. Ripley

HERNDON PLANT OAKLEY, LTD.
AUSTIN, TX 78701
Some features on this profile are disabled
CRD#: 400042
CR

Professional summary

Charles Peyton Ripley is a registered financial professional currently at HERNDON PLANT OAKLEY, LTD. located in Austin, Texas.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1969. Charles has worked at 6 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, PC, Series 000, Series 1 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Peyton Ripley'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

January 18, 2022 - Present

HERNDON PLANT OAKLEY, LTD.

Office #1: 200 West 6th Street Suite 1920, Austin, TX 78701
RIA
BD
CRD#: 44971
AUSTIN, TX
Past

July 7, 2010 - October 12, 2021

BOK FINANCIAL SECURITIES, INC.

BD
CRD#: 17530
Richardson, TX
Past

October 4, 1993 - April 1, 2010

FIRST SOUTHWEST COMPANY, LLC

BD
CRD#: 316
DALLAS, TX
Past

June 24, 1986 - October 15, 1993

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX
Past

June 6, 1984 - July 3, 1986

UNDERWOOD, NEUHAUS & CO., INCORPORATED

BD
CRD#: 839
Past

September 24, 1981 - June 29, 1984

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

February 18, 1969 - October 1, 1981

UNDERWOOD, NEUHAUS & CO., INCORPORATED

BD
CRD#: 839

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
Texas
(1/28/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/30/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 1/1/1978
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 000
Date: 5/22/1969
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 10/2/1968
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 3/21/1972
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
HERNDON, RUSSELL BRENTLIMITED PARTNER243993
OAKLEY, JAMES THEODORELIMITED PARTNER813008
PLANT, PHILLIP MICHAELLIMITED PARTNER364393
CORONADO, SYDNEYFINOP7542960
RAGAN, ELIZABETH BLANCHARDMANAGING DIRECTOR/DESIGNATED PRINCIPAL CHIEF COMPLIANCE OFFICER1191381

Regulatory assets under management

Total Number of Accounts268
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.

Company Information

HERNDON PLANT OAKLEY, LTD.

CRD#: 44971Austin, TX 78701

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