Adviser and broker representative · Northwestern Mutual Investment Services, LLC
Caroline E. Seward
CRD 7278428 · Atlanta, GA
At a glance
Caroline E. Seward is an investment adviser representative with Northwestern Mutual Investment Services, LLC in Atlanta, GA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Caroline’s SEC record dates to 2023, about 2 years ago. Caroline is also registered as a broker representative. Designations on file: Certified Financial Planner.
Current advisory firm
- Northwestern Mutual Investment Services, LLCSince November 2023Atlanta, GA · $0M in regulatory assets
SEC adviser record
- Registered since
- 2023 (2 years)
- Designations
- Certified Financial Planner
- Exams
- Series 63
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Caroline’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.