PP
Phillip M. Plant
HERNDON PLANT OAKLEY, LTD.
SAN ANTONIO, TX 78258
Some features on this profile are disabled
CRD#: 5722455
PP
Professional summary
Phillip Michael Plant JR., who also goes by Phillip Michael Plant, is a registered financial professional currently at HERNDON PLANT OAKLEY, LTD. located in San Antonio, Texas.
Phillip is registered as a RR (Registered Representative) and started their career in finance in 2017. Phillip has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Phillip Michael Plant
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.
PF GEORGIA LLC, INVESTMENT RELATED, 800 N SHORELINE CORPUS CHRISTI TX 78401,COMMERCIAL REAL ESTATE,11/2018. DECISIO HEALTH INC/INVESTMENT RELATED/800 N SHORELINE CC,TX/OBSERVER ON THE BOARD/VARIOUS. DOUGLASVILLE PAVILION EQUITY GROUP LLC, INVESTMENT RELATED, 800 N SHORELINE CORPUS CHRISTI TX 78401, COMMERCIAL REAL ESTATE, 11/2018.DELATEX LLC/CO-MANAGER/INVESTMENT RELATED/CC,TX. DECLATEX LLC II/CO-MANAGER/INVESTMENT RELATED/CC TX. DECLATEX III LLC/CO-MANAGER/INVESTMENT RELATED/CC TX. SPRINGHILL INVESTMENT PARTNERS GP LLC, MANGER OF GP/INVESTMENT RELATED/2-3 HOURS PER MONTH/CORPUS CHRISTI TX. SPRINGHILL INVESTMENT PARTNERS II GP, LLC./INVESTMENT RELATED/MANGER OF GP/2-3 HOURS MONTHLY/CORPUS CHRISTI TX. SPRINGHILL INVESTMENT PARTNERS LP/INVESTMENT RELATED/MANAGER OF LP/ 2-3 HOURS MONTHLY/CORPUS CHRISTI TX. SPRINGHILL INVESTMENT PARTNERS II LP/ INVESTMENT RELATED/MANGER OF LP/ 2-3 HOURS/ CORPUS CHRISTI TX,EAST HIGHPOINT MANAGEMENT LLC,INVESTMENT RELATED/MANAGER OF LLC/1-5 HOURS MONTHLY/CORPUS CHRISTI TX. WILD BASIN INVESTMENTS/INVESTMENT RELATED/1-2 HOURS MONTHLY/CORPUS CHRISTI TX.
CRS (Client Relationship Summary) - BD
Click below to view Phillip Michael Plant JR.'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
November 30, 2011 - Present
HERNDON PLANT OAKLEY, LTD.
Office #1: 18585 Sigma Rd Suite 106, San Antonio, TX 78258RIA
BD
CRD#: 44971
SAN ANTONIO, TX
Past
April 12, 2017 - April 13, 2023
SPRINGWATER ADVISORS, LLC
RIA
CRD#: 150034
CORPUS CHRISTI, TX
Past
March 30, 2017 - October 8, 2024
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
Texas(6/22/2015)
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.
