Brent S. Holt

HERNDON PLANT OAKLEY, LTD.

Corpus Christi, TX 78401

Some features on this profile are disabled

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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®

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

Arkansas
(7/28/2017)

California
(3/8/2021)

Colorado
(2/25/2011)

Florida
(4/29/2009)

IAR

Florida
(7/14/2017)

Kansas
(2/25/2011)

IAR

Kansas
(7/24/2017)

Maryland
(8/3/2021)

Missouri
(1/4/2019)

Nebraska
(11/29/2022)

Nevada
(5/9/2023)

North Carolina
(2/13/2018)

Oklahoma
(2/1/2016)

South Dakota
(4/19/2022)

Texas
(1/1/2008)

IAR

Texas
(12/13/2011)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/27/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/27/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/11/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SPRINGWATER ADVISORS, LLC

CRD#: 150034 / SEC#: 801-70064

RIA

Registered Investment Advisory firm - (10/5/2012 Terminated)

Texas

Registered Investment Advisory firm - (10/3/2012 Approved)

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).

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

Phone number

(800) 888-4894

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Leon Malnik

MALNIK WEALTH MANAGEMENT, LLC

IAR

Clarksville, MD

Spiros Vassilakos

CSENGE ADVISORY GROUP, LLC

IAR

Tarpon Springs, FL

Walter Corea

RBC CAPITAL MARKETS, LLC

IAR

Woodside, NY

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brent S. Holt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Steven Holt's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERNDON PLANT OAKLEY, LTD.

SPRINGWATER ADVISORS, LLC

HERNDON PLANT OAKLEY, LTD.

OXBOW ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/2011

Series 63

Date: 12/27/2007

SIE

Date: 10/1/2018

Series 7

Date: 12/11/2007

FINRA

Current Firm

SPRINGWATER ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SPRINGWATER ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors