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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-09-19 |
| NY | RA | APPROVED | 2021-05-21 |
Branch Locations
300 Corporate Pkwy Suite 216N, Amherst, NY 14226 • United States
Buffalo, NY • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Williamsville | NY | 03/2013 | 12/2020 |
| Northwestern Mutual Investment Services, Llc | Williamsville | NY | 01/2013 | 12/2020 |
| Northwestern Mutual Wealth Management Company | Williamsville | NY | 09/2016 | 12/2020 |
| Massmutual Life Insurance Co | Amherst | NY | 01/2021 | Present |
| Mml Investors Services, Llc | Amherst | NY | 02/2021 | Present |
(1) NAME: ADVOCATE HEALTH, INV REL: Y, ADD: 300 CORPORATE PKWY, STE 216N, AMHERST, NY 14226 NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 11/01/2024, NO. HR/MO: 10, NO. HR/MO DURING SEC TRADING: 10, DUTIES: MEDICARE AND HEALTH (2) NAME: SAVOY, INV REL: Y, ADD: 300 CORPORATE PKWY, STE 216N, AMHERST, NY 14226 NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 11/01/2024, NO. HR/MO: 10, NO. HR/MO DURING SEC TRADING: 10, DUTIES: GROUP LIFE, LONG-TERM DISABILITY AND HEALTH (3) NAME: KAFL, INV REL: Y, ADD: 300 CORPORATE PKWY, STE 216N, AMHERST, NY 14226 NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 11/01/2024, NO. HR/MO: 10, NO. HR/MO DURING SEC TRADING: 10, DUTIES: LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES (4)NAME: RINGLER ASSOCIATES, INC, INV REL: Y ADDR: 300 CORPORATE PKWY STE 216N, AMHERST NY 14226 NATURE: STRUCTURED SETTLEMENT CONSULTING WITH RINGLER. SUPPORTING ATTORNEYS AND CLIENTS ON CASE DESIGN AND ANNUITY PLACEMENT-NO SECURITIES ACTIVITY. POSITION:STRUCTURED SETTLEMENT CONSULTANT, START: 8/25/2025, NO HR/MO: 10 NO HR/MO DUR TRADING: 2 DUTIES: IDENTIFY QUALIFIED SETTLEMENT OPPORTUNITIES, ASSIST ATTORNEYS AND CLIENTS WITH ANNUITY DESIGN AND CASE STRUCTURING, COORDINATE WITH CARRIERS, AND SUPPORT NON-SECURITIES BASED SETTLEMENT PLANNING. NO SECURITIES OR ADVISORY SERVICES INVOLVED.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2014-08-03 |
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