Charles Victor Freemont

Current Employers

Sovereign Investment Advisors Llc

3930 E Ray Road Suite 170, Phoenix, AZ 85044 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2017-10-06
OR	RA	APPROVED	2017-09-12

AZ RA
APPROVED

Since 2017-10-06
OR RA
APPROVED

Since 2017-09-12

Branch Locations

Portland, OR • United States

3930 E Ray Road Suite 170, Phoenix, AZ 85044 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Wedbush Securities Inc.	Lake Oswego	OR	06/2016	08/2017
Sovereign Investment Advisors	Phoenix	AZ	08/2017	Present

06/2016 → 08/2017

Wedbush Securities Inc.

Lake Oswego, OR
08/2017 → Present

Sovereign Investment Advisors

Phoenix, AZ

Previous Registrations

2016-06-14 → 2017-08-11

Wedbush Securities Inc.

Lake Oswego, OR
2009-06-01 → 2016-03-15

Morgan Stanley

Lake Oswego, OR
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Lake Oswego, OR
2004-08-05 → 2007-04-02

Morgan Stanley Dw Inc.

Lake Oswego, OR

Lake Oswego, OR

Other Businesses

Starting 08/2017 Mr. Fremont spends 10% of his time during market hours doing work for Sovereign Consulting (an affiliate of Sovereign Investment Advisors) as Vice President.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-07-28
S63	Uniform Securities Agent State Law Examination	2000-01-17

S65 Uniform Investment Adviser Law Examination

2004-07-28
S63 Uniform Securities Agent State Law Examination

2000-01-17

View on SEC IAPD