Charles Clavel

STEPHENS INVESTMENT MANAGEMENT GROUP

Houston, TX 77046

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CRD#: 5480442

Professional summary

Charles Clavel is a registered financial advisor currently at STEPHENS INVESTMENT MANAGEMENT GROUP, LLC located in Houston, Texas.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Charles has worked at 4 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Clavel'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

March 22, 2019 - Present

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

Office #1: 9 Greenway Plaza, Houston, TX 77046

RIA

CRD#: 136369

Houston, TX

Past

March 22, 2019 - December 22, 2023

STEPHENS

RIA

CRD#: 3496

HOUSTON, TX

Past

June 4, 2018 - December 22, 2023

STEPHENS

CRD#: 3496

HOUSTON, TX

Past

September 8, 2014 - March 14, 2018

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

March 11, 2008 - August 28, 2014

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NEW YORK, NY

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".

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

SIMG | STEPHENS OF ARKANSAS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP | STEPHENS FUNDS

CRD#: 136369 / SEC#: 801-64675

RIA

Registered Investment Advisory firm - (9/2/2005 Approved)

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

Texas
(3/22/2019)

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

Series 63

Date: 3/19/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/26/2008

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 3/10/2008

General Securities Representative Examination

Current Firm

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

SIMG | STEPHENS OF ARKANSAS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP | STEPHENS FUNDS

CRD#: 136369 / SEC#: 801-64675

RIA

Registered Investment Advisory firm - (9/2/2005 Approved)

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Contact information

Main Address

111 Center Street, Little Rock, AR 72201

Mailing Address

Phone number

(800) 458-6589

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts	174
AUM (Assets Under Management)	$ 7,637,388,860

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/22/2025	Cover Page	Report
02/07/2024	Cover Page	Report
11/29/2022	Cover Page	Report

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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Charles Clavel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

STEPHENS

STEPHENS

MORGAN STANLEY & CO. LLC

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/19/2008

SIE

Date: 10/1/2018

Series 87

Date: 3/26/2008

Series 7

Date: 3/10/2008

Current Firm

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

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