Robert Philip Sowersby
Professional Summary
Robert Philip Sowersby, who also goes by Robert P Sowersby, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1961 - 2010. Robert had worked at 5 firms and has passed the Series 63, Series 15, Series 3, Series 5, PC, Series 1, Series 51 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert P Sowersby
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
65 years in the financial services industry
Current & Past Employments
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Current Firm
DAVID SHERMAN & COMPANY
Contact Information
Established
Illinois since 03/01/1965Firm Type
CorporationFiscal Year End
OctoberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PINKERT, STUART LESLIE | PRESIDENT, CHIEF COMPLIANCE OFFICER | 363788 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed May 1984Series 5 — Interest Rate Options Examination
Passed Oct 1981PC — AMEX Put and Call Exam
Passed Sep 1977Series 1 — Registered Representative Examination
Passed Jul 1961Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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