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Charles Cawthon Sorsby

Sorsby Financial Corp.

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About Charles Cawthon Sorsby

Charles 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.

Firm Information

Charles Sorsby is currently registered with Sorsby Financial Corp.. Sorsby Financial Corp. is a corporation registered with the SEC and in 10 states. Founded in 1995, the firm offers portfolio management services for individuals and pooled investment vehicles. The firm manages approximately $5.7 million in assets for 26 accounts. Their client base includes high-net-worth individuals and other individuals.

$5.68M

Assets Under Management

65

Total Clients

2

Total Financial Advisors

Services Offered

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.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Charles Sorsby’s Registration & Firm History

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.

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for Charles Cawthon Sorsby. Review regulatory record here.
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