0001620861-14-000002.txt : 20141125 0001620861-14-000002.hdr.sgml : 20141125 20141125163756 ACCESSION NUMBER: 0001620861-14-000002 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: 141250094 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 201-656-0115 lpetrosky@nwfinancial.com lpetrosky@nwfinancial.com N Daniel Charles Mariniello 002937534 N 1 0001620861 NW Financial Group, LLC 03-10-1997 N 09-26-2014 0001620861 LOCATED SUPERVISED 03-10-1997 2 HUDSON PLACE 3RD FLOOR HOBOKEN NJ 07030 03-1997 NW Financial Group, LLC Hoboken NJ 07030 Y N Principal Y 03-1997 NW Capital Markets Inc. 2 Hudson Place 3rd Floor Hoboken NJ 07030 N Y Registered Broker/Dealer President 32 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