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3200 N. Central Ave Suite #200, Phoenix, AZ 85012 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-01-12 |
| NM | RA | APPROVED | 2018-04-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foothill Securities, Inc | Farmington | NM | 06/2015 | 12/2016 |
| Cue Financial Group Inc | Farmington | NM | 06/2015 | 09/2018 |
| Cue Insurance Sales | Farmington | NM | 06/2015 | Present |
| Pinnacle Sw Enterprises, Inc | Farmington | NM | 09/2008 | Present |
| Securities America, Inc. | Farmington | NM | 12/2016 | 06/2024 |
| Osaic Wealth, Inc. | Farmington | NM | 06/2024 | 11/2025 |
| United Planners | Scottsdale | AZ | 11/2025 | Present |
| Richard D Pecotte | Farmington | NM | 03/1988 | Present |
| Pinnacle Southwest Enterprises, Inc | Farmington | NM | 09/2009 | Present |
| Pfg Advisors, Inc | Farmington | NM | 06/2015 | Present |
1.) PFG ADVISORS, INC - FINANCIAL ADVISOR - REGISTERED INVESTMENT ADVISOR - FARMINGTON, NM - SINCE 06/2015 - INVESTMENT RELATED 2.) RICHARD D PECOTTE - INSURANCE AGENT - NON-VARIABLE INSURANCE - FARMINGTON, NM - SINCE 03/1988 - INVESTMENT RELATED 3.) PINNACLE SOUTHWEST ENTERPRISES, INC - PRESIDENT - DBA THAT FORMERLY OWNED PAPA MURPHY'S PIZZA FRANCHISES - FARMINGTON, NM - SINCE 09/2009 - INVESTMENT RELATED 4.) PECOTTE FAMILY HOLDINGS, LLC - MANAGER - FAMILY LLC THAT WAS SET UP TO INVEST ASSETS OF THE PECOTTE FAMILY - FARMINGTON, NM - SINCE 05/2022 - INVESTMENT RELATED 5.) PINNACLE SOUTHWEST SECURITIES AND INVESTMENTS, INC - PRESIDENT - DBA FOR PURPOSES OF PAYING EXPENSES AND FILING TAX RETURNS - FARMINGTON, NM - SINCE 09/2006 - INVESTMENT RELATED 6.) FOUR CORNERS COMMUNITY BANK - FINANCIAL ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - FARMINGTON, NM - SINCE 06/2024 - INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-13 |
| S65 | Uniform Investment Adviser Law Examination | 1997-10-07 |
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