Richard Pecotte
Advisor at PFG Advisors
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
PFG Advisors
Location
Farmington, NM 87402
Credentials
Series 63, Series 65, Series 66
Industry experience
28 years
Client services
Financial planning
Portfolio management
Pension consulting
Selection of other advisers
Fee options
Flat fees generally range from $100 to $5,000 for financial planning services
$0+: Negotiable up to 1.95% annually (variable fixed, linear or tiered fee schedules) $0+: Maximum fee 1.95% annually
Commissions charged by dually licensed IARs through affiliated broker-dealer UPFSA for certain products
Hourly rates range from $100 to $1,000
Subscription-based financial planning fees, negotiated and charged monthly, quarterly, semi-annually or annually
Account minimum: $25,000 Fee-only: Fee-based investment advisory services including asset management and financial planning fees
Work history
United Planners
2025 - Present (1 year)
Osaic Wealth, Inc.
2024 - 2025 (1 year)
SECURITIES AMERICA, inc.
2016 - 2024 (8 years)
CUE Insurance Sales
2015 - Present (11 years)
PFG Advisors, Inc
2015 - Present (11 years)
Cue Financial Group Inc
2015 - 2018 (3 years)
Foothill Securities, Inc
2015 - 2016 (1 year)
Pinnacle Southwest Enterprises, Inc
2009 - Present (17 years)
Pinnacle SW Enterprises, Inc.
2008 - Present (18 years)
Richard D Pecotte
1988 - Present (38 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Angela B
Series 66
Farmington, NM
Edward Jones
Courtney H
Series 66
Farmington, NM
Edward Jones
Bryan H
Series 63, Series 65
Aztec, NM
Hegarty Investment Logic, LLC
Weldon N
Series 65
Farmington, NM
Iron River Capital LLC
James S
CFP®, Series 63, Series 65
Farmington, NM
&PARTNERS
Jeffrey G
Series 65
Farmington, NM
Sequent Planning, Llc
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