JB
James M. Bain
HERNDON PLANT OAKLEY, LTD.
Corpus Christi, TX 78401
Some features on this profile are disabled
CRD#: 4261087
JB
Professional summary
James Mccormick Bain is a registered financial professional currently at HERNDON PLANT OAKLEY, LTD. located in Corpus Christi, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view James Mccormick Bain's 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®
NoneExperience
Current
September 14, 2000 - Present
HERNDON PLANT OAKLEY, LTD.
Office #1: 800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401RIA
BD
CRD#: 44971
Corpus Christi, TX
Past
November 19, 2022 - October 8, 2024
HERNDON PLANT OAKLEY, LTD.
RIA
CRD#: 44971
CORPUS CHRISTI, TX
Past
September 10, 2013 - August 8, 2019
OXBOW ADVISORS, LLC
RIA
CRD#: 156393
CORPUS CHRISTI, TX
Past
September 2, 2005 - May 20, 2016
HERNDON PLANT OAKLEY, LTD.
RIA
CRD#: 44971
CORPUS CHRISTI, TX
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
Arizona(11/14/2022)
RR
California(12/1/2004)
RR
Colorado(10/5/2007)
RR
Florida(12/1/2004)
RR
Idaho(4/13/2021)
RR
Illinois(5/20/2021)
RR
Kansas(8/28/2002)
RR
Louisiana(11/22/2016)
RR
Minnesota(10/5/2007)
RR
Mississippi(12/7/2023)
RR
Missouri(10/5/2007)
RR
Nevada(11/15/2016)
RR
New Mexico(9/29/2006)
RR
North Carolina(11/9/2022)
RR
Ohio(12/2/2004)
RR
Oklahoma(7/14/2014)
RR
Oregon(6/21/2024)
RR
South Dakota(9/20/2022)
RR
Tennessee(2/11/2022)
RR
Texas(10/3/2000)
RR
Utah(6/7/2023)
RR
Virginia(12/14/2017)
RR
Washington(3/15/2002)
RR
Wisconsin(6/25/2002)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
Direct owners and executive officers
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.
Company Information
HERNDON PLANT OAKLEY, LTD.
CRD#: 44971Corpus Christi, TX 78401TRUST BUT VERIFY
Monitor James Bain
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
