Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Batie is an investment advisor representative who has been in the industry since February 1995. William is currently registered with PFG Advisors and has been with the firm since April 2018. Before that, William was registered with Securities America, Inc. from December 2016 to June 2024. William is licensed to sell securities in 23 states and is also a registered investment advisor in New Mexico and Texas. William is a Series 7, Series 31, and Series 65 licensed professional.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NM
04/16/2018 - Present
PFG Advisors (Albuquerque NM)
NM
12/08/2016 - 06/14/2024
SECURITIES AMERICA, INC. (Albuquerque NM)
NM
02/22/2013 - 12/08/2016
FOOTHILL SECURITIES, INC. (FARMINGTON NM)
NM
06/01/2009 - 03/07/2013
MORGAN STANLEY (ALBUQUERQUE NM)
NM
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ALBUQUERQUE NM)
NM
02/21/1995 - 04/02/2007
MORGAN STANLEY DW INC. (ALBUQUERQUE NM)
IA
Issued 08/30/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 02/17/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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