Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Cawthon Sorsby is a registered investment advisor representative with Sorsby Financial Corp. Charles has over 47 years of experience in the securities industry and has held various roles at several firms including Mutual Fund Advisors LLC, McGonagle Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Oppenheimer & Co., Inc. Charles is currently registered in 11 states including Illinois, Florida, California, Colorado, Georgia, Indiana, Nevada, Arizona, Washington, Wisconsin. Charles is also a Registered Representative of FINRA. Charles specializes in portfolio management for individuals and pooled investment vehicles.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
IL
02/02/2006 - Present
Sorsby Financial Corp. (CHICAGO IL)
IL
07/10/2000 - 01/27/2006
MUTUAL FUND ADVISORS LLC (CHICAGO IL)
IL
07/05/1995 - 03/11/1997
MCGONAGLE SECURITIES, INC. (NAPERVILLE IL)
NY
09/26/1978 - 06/23/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
10/23/1980 - 10/29/1981
OPPENHEIMER & CO., INC.
NA
06/25/1975 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 02/10/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/26/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/18/1996
Series 4 - Registered Options Principal Examination
BC
Issued 01/26/1996
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 01/05/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/10/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/1981
PC - AMEX Put and Call Exam
BC
Issued 06/21/1975
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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