Brent S. Holt
HERNDON PLANT OAKLEY, LTD.
Corpus Christi, TX 78401
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CRD#: 5454897
Professional summary
Brent Steven Holt, CFP® 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.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Brent has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
LIFE INSURANCE AGENT - INDEPENDENT - WRITE POLICIES THROUGH BBA LIFE BROKERAGE (GENERAL AGENT - LOCATED AT 4838 HOLLY RD, #102 CORPUS CHRISTI, TX 78411). RELATIONSHIP BEGAN IN JANUARY 2012. 2 HOURS/MONTH - OFFER TERM, UL & FIXED ANNUITIES TO CLIENTS AS PART OF FINANCIAL PLAN. London ISD Ed. Foundation/Raises funds to support local education-12/14/2023/Non-Investment Related/Corpus Christi, TX
CRS (Client Relationship Summary) - RIA
Click below to view Brent Steven Holt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brent Steven Holt'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®
CFP®
Start date: 2017
Experience
Current
December 13, 2011 - Present
HERNDON PLANT OAKLEY, LTD.
Office #1: 800 N. Shoreline Blvd Suite 2200 South, Corpus Christi, TX 78401RIA
BD
CRD#: 44971
Corpus Christi, TX
Current
October 4, 2021 - Present
SPRINGWATER ADVISORS, LLC
Office #1: 800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401RIA
CRD#: 150034
Corpus Christi, TX
Current
December 12, 2007 - 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
September 10, 2013 - April 11, 2023
OXBOW ADVISORS, LLC
RIA
CRD#: 156393
Corpus Christi, TX
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.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
Arkansas(7/28/2017)
RR
California(3/8/2021)
RR
Colorado(2/25/2011)
RR
Florida(4/29/2009)
IAR
Florida(7/14/2017)
RR
Kansas(2/25/2011)
IAR
Kansas(7/24/2017)
RR
Maryland(8/3/2021)
RR
Missouri(1/4/2019)
RR
Nebraska(11/29/2022)
RR
Nevada(5/9/2023)
RR
North Carolina(2/13/2018)
RR
Oklahoma(2/1/2016)
RR
South Dakota(4/19/2022)
RR
Texas(1/1/2008)
IAR
Texas(12/13/2011)
RR
Washington(3/4/2024)
Exams
State Security Law Exam
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)
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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)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 268 |
| AUM (Assets Under Management) | $ 92,904,841 |
Red Flags
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Company Information
HERNDON PLANT OAKLEY, LTD.
CRD#: 44971Corpus Christi, TX 78401TRUST BUT VERIFY
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