Charles L. Stephen

GLENWOOD INVESTMENT GROUP

Manchester, NH 03101

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CRD#: 2378115

Professional summary

Charles Leonard Stephen, who also goes by Charles Stephen, Chuck Stephen, is a registered financial advisor currently at GLENWOOD INVESTMENT GROUP, LLC located in Manchester, New Hampshire.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Charles has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Stephen | Chuck Stephen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.) LICENSED INSURANCE BROKER FOR VARIOUS INSURANCE COMPANIES, 7/1992-PRESENT. HE TYPICALLY SPENDS APPROXIMATELY 10% OF HIS TIME ENGAGED IN THIS OTHER INVESTMENT-RELATED BUSINESS ACTIVITY. 2.)CHARLES L. STEPHEN HAS THE FOLLOWING RENTAL PROPERTIES: 71 FIREHOUSE RD. ALBURGH, VT 05440; 172 GLENWOOD AVE. MANCHESTER, NH 03102; 204 36TH ST. WEST BRADENTON, FL 34205; 657 & 659 MONTGOMERY ST., MANCHESTER, NH 03102.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Leonard Stephen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 4, 2005 - Present

GLENWOOD INVESTMENT GROUP, LLC

Office #1: 814 Elm Street Suite 503, Manchester, NH 03101

RIA

CRD#: 132950

Manchester, NH

Past

September 26, 2002 - February 24, 2014

AFFINITY INVESTMENT GROUP, LLC

RIA

CRD#: 117191

MANCHESTER, NH

Past

November 10, 1999 - November 7, 2002

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BEDFORD, NH

Past

March 1, 1996 - November 7, 2002

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

July 28, 1993 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GLENWOOD INVESTMENT GROUP, LLC

CRD#: 132950 / SEC#: 801-121991

RIA

Registered Investment Advisory firm - (10/8/2021 Approved)

Florida

Registered Investment Advisory firm - (12/22/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (12/22/2021 Terminated)

New Hampshire

Registered Investment Advisory firm - (1/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (12/22/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(6/25/2014)

IAR

Massachusetts
(1/6/2005)

IAR

New Hampshire
(1/4/2005)

IAR

Texas
(1/4/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/24/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/27/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GLENWOOD INVESTMENT GROUP, LLC

CRD#: 132950 / SEC#: 801-121991

RIA

Registered Investment Advisory firm - (10/8/2021 Approved)

Florida

Registered Investment Advisory firm - (12/22/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (12/22/2021 Terminated)

New Hampshire

Registered Investment Advisory firm - (1/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (12/22/2021 Terminated)

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Contact information

Main Address

814 Elm Street Suite 503, Manchester, NH 03101

Mailing Address

Phone number

(603) 606-3391

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/7/2025)

Regulatory assets under management

Total Number of Accounts	943
AUM (Assets Under Management)	$ 170,617,006

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Charles L. Stephen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Leonard Stephen's CRS (Customer Relationship Summary).

Certified licenses

Experience

AFFINITY INVESTMENT GROUP, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

GLENWOOD INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1999

Series 63

Date: 7/27/1993

Series 7

Date: 5/24/2001

Series 6

Date: 7/27/1993

Current Firm

GLENWOOD INVESTMENT GROUP, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GLENWOOD INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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