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GC

George T. Curtis

HERNDON PLANT OAKLEY, LTD.
Corpus Christi, TX 78401
Some features on this profile are disabled
CRD#: 863714
GC

Professional summary

George Thomas Curtis, who also goes by Tom Curtis, is a registered financial professional currently at HERNDON PLANT OAKLEY, LTD. located in Corpus Christi, Texas.

George is registered as a RR (Registered Representative) and started their career in finance in 1979. George has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Curtis

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.
OVERTON MOUNTAIN DEVELOPMENT PARTNERS POSITION: partner NATURE: real estate deveopment INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/1998 ADDRESS: , nashville TN , United States DESCRIPTION: this is a real estate development outside of McMinnville Tennessee SYNCHRONOUS HEALTH POSITION: board director NATURE: healthcare technology company INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 4 START DATE: 04/01/2018 ADDRESS: , nashville TN , United States DESCRIPTION: I am on the board of directors of the company. In that role, I meet with investors interested in investing capital in the company.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view George Thomas Curtis'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

December 22, 2025 - Present

HERNDON PLANT OAKLEY, LTD.

Office #1: 800 North Shoreline Blvd. Suite 2200 South, Corpus Christi, TX 78401
RIA
BD
CRD#: 44971
Corpus Christi, TX
Past

July 1, 2019 - May 9, 2022

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
NASHVILLE, TN
Past

June 11, 2019 - May 9, 2022

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
NASHVILLE, TN
Past

April 8, 1994 - December 10, 1995

WARD BRADFORD & CO., L.P.

BD
CRD#: 31186
ATLANTA, GA
Past

July 11, 1984 - April 3, 1995

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

January 20, 1983 - May 7, 1984

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

March 26, 1979 - June 1, 1982

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/28/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/29/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/11/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/16/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1979
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
5

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 Accounts268
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.

Company Information

HERNDON PLANT OAKLEY, LTD.

CRD#: 44971Corpus Christi, TX 78401

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