Phillip Plant, financial advisor Corpus Christi TX

Phillip Plant

CRD Number: 364393
Current Firm: Herndon Plant Oakley Ltd

Phillip Plant (CRD# 364393) is an Investment Advisor Representative working at Herndon Plant Oakley Ltd in Corpus Christi, TX and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Springwater Advisors, LLC Corpus Christi, TX Mar 2009 - Current 13
Herndon Plant Oakley Insurance Agency Lc Corpus Christi, TX Nov 2001 - Current 20
Herndon Plant Oakley Inc. Corpus Christi, TX Oct 1998 - Current 23
Herndon Plant Oakley, Ltd. Corpus Christi, TX Jan 1998 - Current 24
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1992
S65 NASAA Investment Advisors Law Examination Apr 1997
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Phillip M. Plant
Phone Number: 361-888-7611
Firm Website:
Registered State(s):
  • FL
  • KS
  • OK
  • TX
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States


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