0001620861-18-000023.txt : 20180829 0001620861-18-000023.hdr.sgml : 20180829 20180829183559 ACCESSION NUMBER: 0001620861-18-000023 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FAGAN,JAMES,ALOYSIUS, FILED AS OF DATE: 20180828 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04159 FILM NUMBER: 181045209 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/A 1 primary_doc.xml MA-I/A 0001620861 XXXXXXXX Lisa Petrosky-Muckle 2016560115 lpetrosky@nwfinancial.com lpetrosky@nwfinancial.com N N James Aloysius Fagan 000203698 N 1 0001620861 NW Financial Group, LLC 11-01-1998 N 09-26-2014 0001620861 LOCATED SUPERVISED 11-01-1998 2 HUDSON PLACE 3RD FLOOR HOBOKEN NJ 07030 11-1998 NW Financial Group, LLC Hoboken NJ 07030 Y N Managing Director Y 11-1998 NW Capital Markets Inc. 2 Hudson Place 3rd Floor Hoboken NJ 07030 N Y Registered Broker/Dealer Managing Director 80 Public Finance N N N N N N N N N Y N Y Y N N N N N N N N N N N N N Y N N N N N N N N N N N N N N N N N N N N N N N 08-28-2018 Lisa Petrosky-Muckle Managing Director James A Fagan 000203698 49681576 6C(2) 6C(8) 6C(4) 6C(5)