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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 | 2018-04-17 |
| TX | RA | APPROVED | 2018-04-16 |
Branch Locations
6605 Uptown Blvd Suite 230, Albuquerque, NM 87110 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Foothill Securities Inc | Albuquerque | NM | 02/2013 | 12/2016 |
| Cue Financial Group Inc | Albuquerque | NM | 02/2013 | 12/2018 |
| Batie And Company Capital Management, Llc | Albuquerque | NM | 02/2013 | Present |
| Cue- Insurance Sales | Albuquerque | NM | 02/2013 | Present |
| Securities America, Inc. | Farmington | NM | 12/2016 | 06/2024 |
| Pfg Advisors, Llc | Albuquerque | NM | 04/2018 | Present |
| Osaic Wealth, Inc. | Albuquerque | NM | 06/2024 | 11/2025 |
| United Planners | Scottsdale | AZ | 11/2025 | Present |
1.) BATIE & COMPANY CAPITAL MANAGEMENT, LLC - FINANCIAL ADVISOR, WEALTH ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - ALBUQUERQUE, NM - SINCE 02/2013 - INVESTMENT RELATED 2.) PFG ADVISORS (I-RIA) - FINANCIAL ADVISORS - REGISTERED INVESTMENT ADVISOR - ALBUQUERQUE, NM - SINCE 02/2013 - INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-23 |
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