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Managing Director/designated Principal Chief Compliance Officer · Herndon Plant Oakley LTD

Elizabeth Blanchard Ragan

CRD 1191381 · Named on Form ADV at one SEC-registered adviser

At a glance

Herndon Plant Oakley LTD, an SEC-registered broker-dealer firm based in Corpus Christi, TX with $155 million in regulatory assets, lists Elizabeth Blanchard Ragan on its Form ADV as Managing Director/designated Principal Chief Compliance Officer, a control person.

Firms and roles

  • Herndon Plant Oakley LTDManaging Director/designated Principal Chief Compliance OfficerBroker-dealer firm · Corpus Christi, TX · $155M in regulatory assets

AtlasMembers

Elizabeth’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Elizabeth’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.