Charles Cawthon Sorsby
Professional Summary
Charles Cawthon Sorsby, who also goes by Charles C Sorsby, is a registered financial advisor currently at SORSBY FINANCIAL CORP. located in Bonita Springs, Florida. Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Charles has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, PC, Series 7, Series 4, Series 28, Series 53 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Charles C Sorsby
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
51 years in the financial services industry
Current & Past Employments
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Current Firm
SORSBY FINANCIAL CORP | SORSBY FINANCIAL CORP.
Contact Information
Main Address
4851 Bonita Bay Blvd Suite 701, Bonita Springs, FL 34134Mailing Address
1222 Charlton Park Dr, Houston, TX 77077Phone Number
(312) 751-0469Established
Illinois since 08/07/1995Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Small# of Employees
1FINRA licenses (9 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
33AUM (Assets Under Management)
$21,005,636Similar Advisors
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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.
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State Registrations and Notice Filings
(11/23/2005)
(5/20/2015)
(6/1/2015)
(1/8/1997)
(11/25/2025)
(12/11/1997)
(1/6/1997)
(2/2/2006)
(6/16/2015)
(1/7/1997)
(1/13/1997)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examPC — AMEX Put and Call Exam
Passed Oct 1981Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jan 1996About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Charles Cawthon Sorsby's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Cawthon Sorsby's CRS (Customer Relationship Summary).
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