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LP

Lisa J. Petrosky-muckle

NW CAPITAL MARKETS
Bloomfield, NJ 07003
Some features on this profile are disabled
CRD#: 2934804
LP

Professional summary

Lisa Joy Petrosky-muckle, who also goes by Lisa Joy Gawley, Lisa Joy Petrosky, is a registered financial professional currently at NW CAPITAL MARKETS INC. located in Bloomfield, New Jersey.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 1998. Lisa has worked at 1 firm and has passed the Series 63, Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa Joy Gawley | Lisa Joy Petrosky

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 Lisa Joy Petrosky-muckle'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

September 28, 1998 - Present

NW CAPITAL MARKETS INC.

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

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
California
(9/28/1998)
RR
New York
(5/28/1999)

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/22/1998
Financial and Operations Principal 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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