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200 West 6Th Street Suite 1920, Austin, TX 78701 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2011-06-13 |
Branch Locations
200 West 6Th Street Suite 1920, Austin, TX 78701 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Herndon Plant Oakley, Ltd. | Corpus Christi | TX | 01/1998 | Present |
| American Bank | Corpus Christi | TX | 03/2005 | Present |
| Oxbow Advisors, Llc | Austin | TX | 02/2011 | Present |
| Herndon Plant Oakley Insurance Agency Lc | Corpus Christi | TX | 11/2001 | Present |
| Herndon Plant Oakley Inc. | Corpus Christi | TX | 10/1998 | Present |
63% OWNERSHIP IN OXBOW ADVISORS, LLC. AMERICAN BANK, NON-INVESTMENT RELATED, CORPUS CHRISTI TX, DIRECTOR SINCE 03/2005. FOSTER ANGELS OF SOUTH TEXAS, FOUNDER, NON-PROFIT, TEXAS, FOUNDATION HELPING FOSTER CHILDREN, SINCE 2001, FOSTER ANGELS OF CENTRAL TEXAS, FOUNDER, NON-PROFIT, TEXAS, FOUNDATION HELPING FOSTER CHILDREN, SINCE 2010. BIGG WHALE LLC, NON-INVESTMENT RELATED PHOENIX, AZ, INVESTOR, 2016. HERNDON PLANT OAKLEY INSURANCE AGENCY, LC, OFFICER SINCE 11/2011. CORNERSTONE MERGER AND ACQUISTIONS, NON-INVESTMENT RELATED, CORPUS CHRISTI TX, 2 HOURS PER YEAR, PARTNER, FEBRUARY 2019. TEDOUPTICK LLC, NON-INVESTMENT RELATED,AUSTIN TX, 2 HOURS PER YEAR, DECEMBER 2020.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-04-02 |
| S63 | Uniform Securities Agent State Law Examination | 1979-07-07 |
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