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Find, Compare and Monitor Financial Advisors at NW CAPITAL MARKETS INC.

CRD#: 17622
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

NW CAPITAL MARKETS INC. is located at 522 Broad Street, Bloomfield, NJ 07003 and was first established at Woodbridge, Delaware in 05/27/1986. After operating for 40 years, NW CAPITAL MARKETS INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of NW CAPITAL MARKETS INC.’s clients are individuals and 0% of their clients are high net worth individuals. NW CAPITAL MARKETS INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at NW CAPITAL MARKETS INC. are registered to handle securities or provide financial advice. The firm has 3 disclosures, 3 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access NW CAPITAL MARKETS INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at NW CAPITAL MARKETS INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for NW CAPITAL MARKETS INC. Comes From

Understanding the Statistics for NW CAPITAL MARKETS INC. and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
3

FIRM INFORMATION

Main Address
522 Broad Street, Bloomfield, NJ 07003
Mailing Address
522 Broad Street, Bloomfield, NJ 07003
Firm Size
Small
Phone Number
(201) 656-0115
Established
Delaware since 05/27/1986
Firm Type
Corporation
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
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

The Importance of Understanding a Firm’s Role when Evaluating an Advisor

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Advisor's working at NW CAPITAL MARKETS INC.

CL

Cooper Lewis

RR
CRD#: 7975262
Location:
Bloomfield, NJ 07003
Company:
NW CAPITAL MARKETS INC.
Disclosures:
Experience:
1 year
View Profile
TB

Thomas Keith Beckett JR

RR
CRD#: 1640655
Location:
Bloomfield, NJ 07003
Company:
NW CAPITAL MARKETS INC.
Disclosures:
Experience:
30 years
View Profile
JM

John Edward Mccormac

RR
CRD#: 1780234
Location:
Bloomfield, NJ 07003
Company:
NW CAPITAL MARKETS INC.
Disclosures:
Experience:
37 years
View Profile
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