General Partner · Herndon Plant Oakley LTD
Phillip Michael Plant
CRD 364393 · 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 Phillip Michael Plant on its Form ADV as General Partner, a control person.
Firms and roles
- Herndon Plant Oakley LTDGeneral PartnerBroker-dealer firm · Corpus Christi, TX · $155M in regulatory assets
AtlasMembers
Phillip’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
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 1998 (28 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
Phillip’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- James Theodore OakleyGeneral Partner, Herndon Plant Oakley LTD
- Elizabeth Blanchard RaganManaging Director/designated Principal Chief Compliance Officer, Herndon Plant Oakley LTD
- Sydney CoronadoFinop, Herndon Plant Oakley LTD
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Phillip’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.