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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-03-17
OH RA APPROVED 2025-03-03
  • TX RA
    APPROVED
    Since 2025-03-17
  • OH RA
    APPROVED
    Since 2025-03-03

Branch Locations

420 Madison Ave Ste 550, Toledo, OH 43604 • United States

Perrysburg, OH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 04/2016 → 01/2025
    Northwestern Mutual Life Insurance Company
    Toledo, OH
  • 03/2016 → 01/2025
    Northwestern Mutual Investment Services Llc
    Toledo, OH
  • 10/2019 → 01/2025
    Northwestern Mutual Wealth Management Company
    Toledo, OH
  • 02/2025 → Present
    Toledo, OH
  • 01/2025 → Present
    Massmutual Life Insurance Co.
    Toledo, OH
Other Businesses

(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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-02-22
S63 Uniform Securities Agent State Law Examination 2018-05-11
  • S65 Uniform Investment Adviser Law Examination
    2025-02-22
  • S63 Uniform Securities Agent State Law Examination
    2018-05-11
Other Names
  • Gary M Kauffman

View on SEC IAPD

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