0001620861-14-000005.txt : 20141125 0001620861-14-000005.hdr.sgml : 20141125 20141125163717 ACCESSION NUMBER: 0001620861-14-000005 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20141016 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NW Financial Group, LLC CENTRAL INDEX KEY: 0001620861 IRS NUMBER: 223444516 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-04159 FILM NUMBER: 141250080 BUSINESS ADDRESS: STREET 1: 2 HUDSON PLACE STREET 2: 3RD FLOOR CITY: HOBOKEN STATE: NJ ZIP: 07030 BUSINESS PHONE: 201-656-0115 MAIL ADDRESS: STREET 1: 2 HUDSON PLACE STREET 2: 3RD FLOOR CITY: HOBOKEN STATE: NJ ZIP: 07030 MA-I 1 primary_doc.xml MA-I 0001620861 XXXXXXXX Lisa Petrosky-Muckle 2016560115 lpetrosky@nwfinancial.com lpetrosky@nwfinancial.com N Thomas Keith Beckett Jr. 001640655 N 1 0001620861 NW Financial Group, LLC 06-20-2013 N 09-26-2014 0001620861 LOCATED SUPERVISED 06-20-2013 02-2013 NW Financial Group, LLC Hoboken NJ 07030 Y N Sr. Vice President 03-2010 02-2013 TK Beckett Associates, LLC Berwyn PA 19312 Y N owner, sole propritor 04-2006 02-2010 George K Baum & Company Kansas City MO 64112 N Y sr vice president 02-1999 04-2006 Fairmount Capital Group Philadelphia PA 19103 Y N Sr. Vice President Y 06-2013 NW Capital Markets Inc. 2 Hudson Place 3rd Floor Hoboken NJ 07030 N Y Registered Broker/Dealer Sr. Vice President 80 public finance N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 10-16-2014 Lisa Petrosky-Muckle Sr. Vice President