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Thomas K. Beckett

NW CAPITAL MARKETS
Bloomfield, NJ 07003
Some features on this profile are disabled
CRD#: 1640655
TB

Professional summary

Thomas Keith Beckett JR is a registered financial professional currently at NW CAPITAL MARKETS INC. located in Bloomfield, New Jersey.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 3 firms and has passed the Series 63, SIE, Series 50, Series 52 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Keith Beckett JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 15, 2013 - Present

NW CAPITAL MARKETS INC.

Office #1: 522 Broad Street, Bloomfield, NJ 07003
BD
CRD#: 17622
Bloomfield, NJ
Past

August 17, 2006 - April 30, 2010

GEORGE K. BAUM & COMPANY

BD
CRD#: 36354
WEST CONSHOHOCKEN, PA
Past

September 11, 1995 - May 3, 1999

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(8/15/2013)
RR
New York
(12/10/2013)
RR
Pennsylvania
(12/10/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 12/9/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 6/15/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 52
Date: 8/15/2013
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NW CAPITAL MARKETS INC.
NW CAPITAL MARKETS INC. | WINDSOR FINANCIAL GROUP/DE, INC.

CRD#: 17622 / SEC#: , 8-35363

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
522 Broad Street, Bloomfield, NJ 07003
Mailing Address
522 Broad Street, Bloomfield, NJ 07003
Phone number
(201) 656-0115
Established
Delaware since 05/27/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NW FINANCIAL HOLDINGS INC.HOLDING COMPANY
MARINIELLO, DANIEL CHARLESEXECUTIIVE OFFICER, TRUSTEE2937534
FAGAN, JAMES ALOYSIUSEXECUTIVE OFFICER, CCO203698
MACKEY, HOWARD HAMILTON IIIEXECUTIVE OFFICER1066109
PETROSKY-MUCKLE, LISA JOYFINOP2934804

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NW CAPITAL MARKETS INC.

CRD#: 17622Bloomfield, NJ 07003

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