Brent Steven Holt, CFP | Financial Professional | Corpus Christi, Texas | HERNDON PLANT OAKLEY, LTD.

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Contact Information

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Disclosures on record.

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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Credentials

CFP®

Certified Financial PlannerSince 2017

Years of Experience

19 years registered in the securities industry

Current & Past Employments

Current

HERNDON PLANT OAKLEY, LTD.Current·CRD# 44971

RIA

BD

800 N. Shoreline Blvd Suite 2200 South, Corpus Christi, TX 78401

December 13, 2011 - Present

SPRINGWATER ADVISORS, LLCCurrent·CRD# 150034

RIA

800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401

October 4, 2021 - Present

HERNDON PLANT OAKLEY, LTD.Current·CRD# 44971

RIA

BD

800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401

December 12, 2007 - Present

Past

OXBOW ADVISORS, LLCPast·CRD# 156393

RIA

Corpus Christi, TX

September 10, 2013 - April 11, 2023

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Current Firm

HP

HERNDON PLANT OAKLEY, LTD.

AMERICAN INVESTMENT SERVICES | HERNDON PLANT OAKLEY, LTD. | HERNDON PLANT OAKLEY LTD

CRD#: 44971 / SEC#: 801-137003, 8-50912

RIA

Registered Investment Advisory firm - SEC (9/11/2026 Approved)

Florida

Registered Investment Advisory firm - SEC (9/12/2026 Terminated)

Kansas

Registered Investment Advisory firm - SEC (9/12/2026 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (10/9/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/12/2026 Terminated)

BD

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).

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

3

SEC notice filing (3 States and Territories)

Registered to provide investment advisory services in 3 US states and territories.

FINRA licenses (45 States and Territories)

Registered to provide investment advisory services in 3 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A&B (7/2/2026)

Direct owners and executive officers

Name	Position	CRD#
OAKLEY, JAMES THEODORE	GENERAL PARTNER	813008
PLANT, PHILLIP MICHAEL	GENERAL 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

286

AUM (Assets Under Management)

$155,401,000

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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 AMH LEGACY PROPERTIES, LLC - REAL ESTATE PROPERTY FOR RENTAL INCOME/INVESTMENT RELATED/CORPUS CHRISTI, TX 78414

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HP

HERNDON PLANT OAKLEY, LTD.

AMERICAN INVESTMENT SERVICES | HERNDON PLANT OAKLEY, LTD. | HERNDON PLANT OAKLEY LTD

CRD#: 44971 / SEC#: 801-137003, 8-50912

RIA

Registered Investment Advisory firm - SEC (9/11/2026 Approved)

Florida

Registered Investment Advisory firm - SEC (9/12/2026 Terminated)

Kansas

Registered Investment Advisory firm - SEC (9/12/2026 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (10/9/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/12/2026 Terminated)

BD

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).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arkansas
(7/28/2017)

RR

California
(3/8/2021)

RR

Colorado
(2/25/2011)

RR

Florida
(4/29/2009)

RR

Kansas
(2/25/2011)

RR

Maryland
(8/3/2021)

RR

Missouri
(1/4/2019)

RR

Nebraska
(11/29/2022)

RR

Nevada
(5/9/2023)

RR

New Jersey
(6/5/2026)

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)

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.