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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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Phillip Michael Plant JR.'s CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 30, 2011 - Present

HERNDON PLANT OAKLEY, LTD.

Office #1: 18585 Sigma Rd Suite 106, San Antonio, TX 78258
RIA
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
RR
IAR
Series 66
Date: 6/18/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/29/2011
General Securities Representative Examination
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
3

FINRA licenses (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
HERNDON, RUSSELL BRENTLIMITED PARTNER243993
OAKLEY, JAMES THEODORELIMITED PARTNER813008
PLANT, PHILLIP MICHAELLIMITED PARTNER364393
CORONADO, SYDNEYFINOP7542960
RAGAN, ELIZABETH BLANCHARDMANAGING DIRECTOR/DESIGNATED PRINCIPAL CHIEF COMPLIANCE OFFICER1191381

Regulatory assets under management

Total Number of Accounts278
AUM (Assets Under Management)$ 110,586,400

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#: 44971San Antonio, TX 78258

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