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Caroline Elizabeth Seward

Northwestern Mutual Investment Services, LLC

Atlanta, GA

CRD 7278428

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Employer firm

Northwestern Mutual Investment Services, LLC CRD 2881

1 advisory clients

Reported services (Item 5G)

  • INVESTMENT RESEARCH; REFERRALS TO OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-11-08
  • GA RA
    APPROVED
    Since 2023-11-08

Branch Locations

3438 Peachtree Rd Ne Phipps Tower Ste 1200, Atlanta, GA 30326 • 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
Cryptalgo Holding, Ag Zug 03/2018 07/2018
49 Financial Atlanta GA 06/2020 09/2021
Student New Orleans LA 08/2016 05/2020
Day And Zimmermann Philadelphia PA 05/2018 08/2018
Quench Usa Inc King Of Prussia PA 05/2019 08/2019
Purshe Kaplan Sterling Investments Albany NY 07/2020 09/2021
Sam Arthur Atlanta GA 09/2021 10/2021
Samuel Arthur Atlanta GA 10/2021 Present
Mark Mascarenhas Atlanta GA 10/2021 Present
F Mackey Schneider Atlanta GA 10/2021 04/2023
Northwestern Mutual Investment Services Llc Atlanta GA 11/2021 Present
Angle Events New Orleans LA 10/2017 01/2019
F Mackey Schneider Atlanta GA 08/2024 Present
Paul Martin Williams Atlanta GA 06/2026 Present
  • 03/2018 → 07/2018
    Cryptalgo Holding, Ag
    Zug
  • 06/2020 → 09/2021
    49 Financial
    Atlanta, GA
  • 08/2016 → 05/2020
    Student
    New Orleans, LA
  • 05/2018 → 08/2018
    Day And Zimmermann
    Philadelphia, PA
  • 05/2019 → 08/2019
    Quench Usa Inc
    King Of Prussia, PA
  • 07/2020 → 09/2021
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 09/2021 → 10/2021
    Sam Arthur
    Atlanta, GA
  • 10/2021 → Present
    Samuel Arthur
    Atlanta, GA
  • 10/2021 → Present
    Mark Mascarenhas
    Atlanta, GA
  • 10/2021 → 04/2023
    F Mackey Schneider
    Atlanta, GA
  • 11/2021 → Present
    Atlanta, GA
  • 10/2017 → 01/2019
    Angle Events
    New Orleans, LA
  • 08/2024 → Present
    F Mackey Schneider
    Atlanta, GA
  • 06/2026 → Present
    Paul Martin Williams
    Atlanta, GA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-05-29
  • S63 Uniform Securities Agent State Law Examination
    2020-05-29
Designations
  • Certified Financial Planner
Other Names
  • Lily Seward
  • Lily Seward
  • Lily Seward
  • Lily Seward

View on SEC IAPD

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