Charles V. Freemont

SOVEREIGN INVESTMENT ADVISORS LLC

Portland, OR

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CRD#: 4052394

Professional summary

Charles Victor Freemont, AIF® is a registered financial advisor currently at SOVEREIGN INVESTMENT ADVISORS LLC located in Portland, Oregon.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Charles has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 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.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Victor Freemont'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 5, 2017 - Present

SOVEREIGN INVESTMENT ADVISORS LLC

RIA

CRD#: 149040

Portland, OR

Past

June 14, 2016 - August 11, 2017

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

LAKE OSWEGO, OR

Past

June 2, 2016 - August 11, 2017

WEDBUSH SECURITIES INC.

CRD#: 877

LAKE OSWEGO, OR

Past

June 1, 2009 - March 15, 2016

MORGAN STANLEY

RIA

CRD#: 149777

LAKE OSWEGO, OR

Past

June 1, 2009 - March 15, 2016

MORGAN STANLEY

CRD#: 149777

LAKE OSWEGO, OR

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

LAKE OSWEGO, OR

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

LAKE OSWEGO, OR

Past

August 5, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LAKE OSWEGO, OR

Past

December 22, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

LAKE OSWEGO, OR

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".

SOVEREIGN INVESTMENT ADVISORS LLC

CRD#: 149040 / SEC#: 801-80942

RIA

Registered Investment Advisory firm - (2/19/2015 Approved)

Arizona

Registered Investment Advisory firm - (2/20/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (2/20/2015 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

Arizona
(10/6/2017)

IAR

Oregon
(9/5/2017)

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: 7/28/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/27/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/21/1999

General Securities Representative Examination

Current Firm

SOVEREIGN INVESTMENT ADVISORS LLC

CRD#: 149040 / SEC#: 801-80942

RIA

Registered Investment Advisory firm - (2/19/2015 Approved)

Arizona

Registered Investment Advisory firm - (2/20/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (2/20/2015 Terminated)

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Contact information

Main Address

3930 E Ray Road Suite 170, Phoenix, AZ 85044

Mailing Address

Phone number

(480) 385-2850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIA CURRENT ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	138
AUM (Assets Under Management)	$ 2,990,140,818

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 V. Freemont

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SOVEREIGN INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/2004

Series 63

Date: 1/17/2000

SIE

Date: 8/11/2017

Series 31

Date: 12/27/1999

Series 7

Date: 12/21/1999

Current Firm

SOVEREIGN INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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