Unclaimed Profile

Phillip Michael Plant

HERNDON PLANT OAKLEY LTD·CORPUS CHRISTI, Texas

SIE, Series 1, Series 4, Series 7TO, Series 9, Series 10, Series 24, Series 40, Series 63, Series 65, Series 99TO28 years registeredHERNDON PLANT OAKLEY LTD

800 N. SHORELINE BLVD, CORPUS CHRISTI, TX 78401CRD# 364393Firm CRD# 44971

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Phillip Michael Plant · CORPUS CHRISTI, TX

Registration

CRD #364393 · HERNDON PLANT OAKLEY LTD · 28 years registered

Brand Profile

Not yet started

Career History

SPRINGWATER ADVISORS, LLC

Apr 2009 – present

HERNDON PLANT OAKLEY LTD

Jul 1998 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 4

Series 7TO

Series 9

Series 10

Series 24

Series 40

Series 63

Series 65

Series 99TO

Registration record

First registered · July 7, 1998

Years registered · 28

Disclosure History

2016Financial·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

HERNDON PLANT OAKLEY LTD

CRD 44971 · SEC 801-55675

AUM

$59M

Regulatory assets under management

Employees

119 client accounts

Services offered by HERNDON PLANT OAKLEY LTD

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at HERNDON PLANT OAKLEY LTD →

Introduction

Speak with Phillip Michael

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Phillip Michael is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in CORPUS CHRISTI?

Browse all registered financial advisors in CORPUS CHRISTI, Texas or claim this profile if it's yours.

Browse CORPUS CHRISTI Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Phillip Michael Plant offer?

Phillip Michael Plant specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in CORPUS CHRISTI, Texas for a consultation.

What are Phillip Michael Plant's credentials?

Phillip Michael Plant is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Phillip Michael Plant located?

Phillip Michael Plant is based in CORPUS CHRISTI, Texas, working with HERNDON PLANT OAKLEY LTD. Their office serves clients in the CORPUS CHRISTI metropolitan area and surrounding communities.

How does Phillip Michael Plant charge for services?

Phillip Michael Plant's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HERNDON PLANT OAKLEY LTD?

HERNDON PLANT OAKLEY LTD has approximately 10 employees and manages $59M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →