Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Michael Plant is a financial advisor with over 50 years of experience in the industry. He is currently registered with Herndon Plant Oakley, Ltd. and Springwater Advisors, LLC. Phillip has a wide range of experience in the industry, specializing in portfolio management for individuals and businesses, financial planning, and selection of other advisors. Phillip is also a member of the board of directors of Decisio Health Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
TX
07/07/1998 - Present
Herndon Plant Oakley, Ltd. (CORPUS CHRISTI TX)
NY
03/02/1998 - 10/09/1998
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
10/14/1985 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NA
10/24/1972 - 10/28/1985
ROTAN MOSLE INC.
IA
Issued 04/21/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/12/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 08/30/1982
Series 4 - Registered Options Principal Examination
BC
Issued 03/28/1975
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/1982
PC - AMEX Put and Call Exam
BC
Issued 10/07/1972
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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