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3200 N. Central Ave Suite #200, Phoenix, AZ 85012 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2025-09-11 |
| NM | RA | APPROVED | 2018-04-19 |
| MT | RA | APPROVED | 2018-04-18 |
Branch Locations
6605 Uptown Blvd Ne Ste 230, Albuquerque, NM 87110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Foothill Securities, Inc. | Clancy | MT | 02/2013 | 12/2016 |
| Cue Financial Group, Inc. | Clancy | MT | 02/2013 | 12/2018 |
| Batie & Company Capital Management Llc | Albuquerque | NM | 02/2013 | Present |
| Insurance Sales | Albuquerque | NM | 02/2013 | Present |
| Securities America, Inc. | Albuquerque | NM | 12/2016 | 06/2024 |
| Pfg Advisors, Llc | Peoria | AZ | 04/2018 | Present |
| Osaic Wealth, Inc. | Albuquerque | NM | 06/2024 | 11/2025 |
| United Planners | Scottsdale | AZ | 11/2025 | Present |
1.) PFG ADVISORS - INVESTMENT ADVISOR REPRESENTATIVE - REGISTERED INVESTMENT ADVISOR - PHOENIX, AZ - SINCE 04/2018 - INVESTMENT RELATED 2.) BATIE AND COMPANY CAPITAL MANAGEMENT - OPERATIONS MANAGER/FINANCIAL ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - ALBUQUERQUE, NM - SINCE 02/2013 - INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-24 |
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