Branch offices
5 offices
FINRA: Small firm
CRD #44971 · FINRA BrokerCheck + SEC IAPD
Herndon Plant Oakley, Ltd.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Herndon Plant Oakley, Ltd. ranks #11,545 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #132 of 189 on the same disclosure sort used on the state browse page. Herndon Plant Oakley, Ltd. has a clean FINRA BrokerCheck record, no reportable disclosures across its 5 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 5
- branch offices
- 0
- disclosures
- #11,545 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 44971 Herndon Plant Oakley, Ltd.
Herndon Plant Oakley, Ltd. · Grade A · 0 disc · 0.00/office · Small firm
- CRD 44971
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 5
- PER-OFF 0.00
- RANK #11,545 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Herndon Plant Oakley, Ltd. ranks #11,545 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 5 offices
Clean disclosure surface
Herndon Plant Oakley, Ltd. has zero reportable FINRA BrokerCheck disclosures in this extract across 5 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Corpus Christi, TX
- CRD Number
- 44971
Clean BrokerCheck surface
Herndon Plant Oakley, Ltd.'s clean BrokerCheck surface
Herndon Plant Oakley, Ltd. shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 5 branch offices (Grade A).
Herndon Plant Oakley, Ltd. shows zero reportable disclosures across 5 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Herndon Plant Oakley, Ltd.'s clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Texas cohort · 0.00× state average
Herndon Plant Oakley, Ltd. sits below the Texas disclosure average
Herndon Plant Oakley, Ltd. reports 0 BrokerCheck disclosures, 0.00× the Texas average of 4.0, lighter than most of the 189 graded firms filed there.
In Texas, 110 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Texas state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Herndon Plant Oakley, Ltd. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Herndon Plant Oakley, Ltd. ranks #11,545 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #132 of 189 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for Herndon Plant Oakley, Ltd.?
A grade of A means Herndon Plant Oakley, Ltd. has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Herndon Plant Oakley, Ltd. have?
Herndon Plant Oakley, Ltd. has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Herndon Plant Oakley, Ltd.?
Herndon Plant Oakley, Ltd. operates 5 branch offices and is classified by FINRA as a small firm, registered in TX (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Herndon Plant Oakley, Ltd.'s disciplinary record?
You can verify Herndon Plant Oakley, Ltd.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 44971. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. Herndon Plant Oakley, Ltd. currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Herndon Plant Oakley, Ltd., both outside TX so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (5 here).
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Herndon Plant Oakley, Ltd.'s 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Herndon Plant Oakley, Ltd.'s 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Herndon Plant Oakley, Ltd.'s 0.00
- Firms in TX - state roster that includes Herndon Plant Oakley, Ltd.'s registration home.
- How to Vet a Financial Advisor - Use Herndon Plant Oakley, Ltd.'s clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Herndon Plant Oakley, Ltd.'s does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Herndon Plant Oakley, Ltd..
- Compare firms - put Herndon Plant Oakley, Ltd. next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.