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