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RIA / WealthAdvisor31 years in industry

WILLIAM STEVEN BATIE

Advisor at PFG ADVISORS

Albuquerque, NM

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 13, 1995 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PFG ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 23, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Feb 23, 1995
First registration: Oct 13, 1995
Dual registered: no
Other names: BILL BATIE
IAPD individual key: 2575173

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PFG ADVISORS	Independent wealth	Apr 16, 2018	n/a	yes	Albuquerque, NM	Current employment
FOOTHILL SECURITIES, INC.	Former SEC adviser	Apr 19, 2013	Dec 14, 2016	no	ALBUQUERQUE, NM\|PHOENIX, AZ\|Albuquerque, NM\|FARMINGTON, NM\|ALBUQUERQUE, NM\|SANTA CLARA, CA	Previous registration
CUE FINANCIAL GROUP, INC.	Former SEC adviser	Feb 25, 2013	Dec 31, 2018	no	ALBUQUERQUE, NM\|ALBUQUERQUE, NM	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 7, 2013	no	Albuquerque, NM	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	ALBUQUERQUE, NM	Previous registration
MORGAN STANLEY DW INC.	n/a	Oct 13, 1995	Apr 2, 2007	no	ALBUQUERQUE, NM\|ALBUQUERQUE, NM	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CUE FINANCIAL GROUP, INC.	FOOTHILL SECURITIES, INC.	Dec 31, 2018	Apr 19, 2013	-2,082	Firm change after gap	Other
FOOTHILL SECURITIES, INC.	PFG ADVISORS	Dec 14, 2016	Apr 16, 2018	488	Firm change after gap	Other
MORGAN STANLEY	CUE FINANCIAL GROUP, INC.	Mar 7, 2013	Feb 25, 2013	-10	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (6)

→ PFG ADVISORSRegistered adviserregistration: current employment
Apr 16, 2018 to presentfactForm ADV
→ CUE FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Feb 25, 2013 to Dec 31, 2018factForm ADV
→ FOOTHILL SECURITIES, INC.Registered adviserregistration: previous registration
Apr 19, 2013 to Dec 14, 2016factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 7, 2013factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Oct 13, 1995 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.