0001620861-14-000022.txt : 20141125
0001620861-14-000022.hdr.sgml : 20141125
20141125163359
ACCESSION NUMBER: 0001620861-14-000022
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20141020
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: 141250030
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
David
Jerome
Eckhart
001103499
N
1
0001620861
NW Financial Group, LLC
09-01-2013
N
09-26-2014
0001620861
LOCATED
SUPERVISED
09-01-2013
09-2013
NW Financial Group, LLC
Hoboken
NJ
19465
Y
N
Managing Director
10-1992
09-2013
INVESTMENT MANAGEMETN ADVISORY GROUP, INC.
POTTSTOWN
PA
19465
Y
N
PRESIDENT, MANAGING DIRECTOR
Y
09-2013
NW CAPITAL MARKETS INC.
2 HUDSON PLACE
3RD FLOOR
HOBOKEN
NJ
07030
N
Y
RESITERED BROKER/DEALER
MANAGING DIRECTOR
24
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
10-20-2014
LISA PETROSKY-MUCKLE
SR. VICE PRESIDENT