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Richard Dean Pecotte

PFG Advisors

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About Richard Dean Pecotte

Richard Pecotte is a financial advisor with over 25 years of experience in the financial industry. Richard is registered with PFG Advisors and Securities America, Inc. Richard has a broad range of experience and expertise in financial planning, investment management, and retirement planning.

Firm Information

Richard Pecotte is currently registered with PFG Advisors. PFG Advisors is an investment advisory firm located in PHOENIX, AZ, with over 100 licensed agents and advisors. They have approximately $2.8 billion in regulatory assets under management. PFG Advisors specializes in providing financial planning, pension consulting, and portfolio management services to individuals, high-net-worth individuals, corporations, charitable organizations, and pension plans. They also offer selection of other advisors.
PFG Advisors

3200 N. CENTRAL AVE

PHOENIX, AZ 85012

$2.83B

Assets Under Management

10

Total Clients

111

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Pecotte’s Registration & Firm History

NM

04/18/2018 - Present

PFG Advisors (FARMINGTON NM)

NM

12/08/2016 - 06/14/2024

SECURITIES AMERICA, INC. (FARMINGTON NM)

NM

06/15/2015 - 12/08/2016

FOOTHILL SECURITIES, INC. (FARMINGTON NM)

NM

02/19/2003 - 06/16/2015

WILBANKS SECURITIES, INC. (FARMINGTON, NM)

NY

09/15/1997 - 12/09/2002

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 06/24/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/13/1997

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 10/07/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/16/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/13/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/14/1997

Series 31 - Futures Managed Funds Examination

BC

Issued 09/12/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Dean Pecotte.
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