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