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