Thomas Stephen has been Principal and Chief Compliance Officer of Glenwood Investment Group since March 2022, is a control person of the firm and directly owns 75% or more of it. Thomas Stephen studied Peter P. Paul College of Business and Economics at the University of New Hampshire.
Glenwood Investment Group, LLC is a Manchester, NH firm with $199M under management, 372 clients and 2 advisers across 5 offices, as of its March 2026 filing.
Thomas John Stephen is Principal and Owner of Glenwood Investment Group. He works with clients on financial planning and oversees the office's operations. He graduated from the Peter P. Paul College of Business and Economics at the University of New Hampshire in 2015.
Thomas Stephen’s longest registration is the current one, 8 years at Glenwood Investment Group since 2018. Before joining Glenwood Investment Group in 2018, Thomas Stephen was registered through Valmark Advisers, Inc.
- – present · 8 yearsManchester, NH · Adviser representative · Firm CRD 132950
- Valmark Advisers, Inc.– · under a yearAshburn, VA · Adviser representative · Firm CRD 108050
Professional designations
Listed by Glenwood Investment Group
- CFP®
Investment adviser representative registrations
Thomas Stephen is registered as an investment adviser representative in New Hampshire, since August 2018.
- New HampshireSince 28 August 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 18 November 2015 |
| Series 7 | General Securities Representative Examination | 14 October 2015 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas John Stephen
- CRD
- 6534724
- Firm
- Glenwood Investment Group · CRD 132950
- Role
- Principal; Chief Compliance Officer
- Office
- 814 ELM STREET, SUITE 503, Manchester, NH 03101
- Registration
- Investment adviser registration
- In the industry since
- December 2015
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- glenwoodinvestment.com
Where does Thomas Stephen work?
Thomas Stephen has been Principal; Chief Compliance Officer of Glenwood Investment Group, LLC since March 2022, and is a control person of the firm.
Is Thomas Stephen a financial advisor?
Yes. Thomas Stephen has a current investment-adviser registration in New Hampshire, through Glenwood Investment Group since August 2018.
How many years of experience does Thomas Stephen have?
Thomas Stephen has 10 years in the financial industry, since December 2015, across 2 adviser firms.
What exams has Thomas Stephen passed?
Thomas Stephen has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in October 2015. FINRA credited Thomas Stephen with the SIE, which began in October 2018.
Where did Thomas Stephen work before Glenwood Investment Group?
Before Glenwood Investment Group, Thomas Stephen was registered through Valmark Advisers, Inc., March 2018 to June 2018.
Where is Thomas Stephen based?
Thomas Stephen’s registered office is in Manchester, NH.
Is Thomas Stephen registered with FINRA?
No. Thomas Stephen has no current broker registration.
Is Thomas Stephen a CFP?
Glenwood Investment Group lists Thomas Stephen with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: Thomas John Stephen, CFP®, RICP® biography, glenwoodinvestment.com
How can I verify Thomas Stephen’s record?
Search CRD 6534724 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Stephen’s full registration record.