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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-03-17 |
| OH | RA | APPROVED | 2025-03-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Toledo | OH | 04/2016 | 01/2025 |
| Northwestern Mutual Investment Services Llc | Toledo | OH | 03/2016 | 01/2025 |
| Northwestern Mutual Wealth Management Company | Toledo | OH | 10/2019 | 01/2025 |
| Mml Investors Services, Llc | Toledo | OH | 02/2025 | Present |
| Massmutual Life Insurance Co. | Toledo | OH | 01/2025 | Present |
(1)Name: Gary M. Kauffman Inv Rel: Y Add: 420 Madison Ave, Ste 550, Toledo, OH 43604 Nature: Outside Insurance Sales Position: Insurance Broker Start Date: 05/19/2025 No. Hr/Mo: 2 No. Hr/Mo During Sec Trading: Duties: Life, disability. (2) Name: DWP Consulting LLC, Inv Rel: Y Addr: @ Residential address Nature: Consulting on contract & employment for full time physicians, Position: Owner, Start: 6/15/2025, No Hr/Mo: 10 No Hr/Mo Dur Trading: 0 Duties: Review of contracts in regards to medical industry standards & working with physicians to evaluate their business & employment contracts/providing feedback. (3) Name: MedMarket Mastermind, Inv Rel: Y Addr: @ Residential address Nature: Coaching advisors on how to build a practice in the medical market, Position: Owner/Coach Start: 6/1/2025, No Hr/Mo: 5 No Hr/Mo Dur Trading: 5 Duties: Running group coaching sessions and offering one-on-one advice about prospecting and working with physicians. (4)Name: GMK Legacy Holdings LLC, Inv Rel: Y Addr: 420 Madison Ave Ste 550 Toledo OH 43604, Nature:Holding company that payroll is run through, Position: Owner Start: 6/10/2025, No Hr/Mo:1 No Hr/Mo Dur Trading:0 Duties: LLC set up to run payroll and other staff benefits through.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 2018-05-11 |
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