0001620861-16-000002.txt : 20161202
0001620861-16-000002.hdr.sgml : 20161202
20161202103907
ACCESSION NUMBER: 0001620861-16-000002
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20161201
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: 162030097
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
201-656-0115
lpetrosky@nwfinancial.com
lpetrosky@nwfinancial.com
N
N
Howard
Hamilton
Mackey
III
001066109
N
1
0001620861
NW Financial Group, LLC
10-03-2016
N
867-01103
LOCATED
SUPERVISED
10-03-2016
2 HUDSON PLACE
3RD FLOOR
HOBOKEN
NJ
07030
10-2016
NW Financial Group LLC
Hoboken
NJ
07030
Y
N
Managing Director
06-2016
09-2016
unemployed
Teneak
NJ
07666
N
N
unemployed
10-2015
06-2016
Bonwick Capital Partners LLC
New York
NY
10022
N
Y
Executive Vice President
05-2006
10-2015
Rice Securities LLC
New York
NY
10004
N
Y
Vice Chairman
Y
10-2016
NW Capital Markets Inc.
2 Hudson Place
Hoboken
NJ
07030
N
Y
Registered Broker/Dealer
Managing Director
150
sales
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
12-01-2016
Lisa Petrosky-Muckle
Sr. Vice President