CS
Charles C. Sorsby
SORSBY FINANCIAL
Bonita Springs, FL
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CRD#: 809318
CS
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 Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles C Sorsby
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.
CAPITAL CONSERVATION CORP.; PRESIDENT & SOLE SHAREHOLDER; STARTED 12/1996; 100 E HURON #3501, CHICAGO, IL; 1-10 HRS PER MO; INVESTMENT RELATED; MAY OCCUR DURING MARKET HOURS; ACTS AS GENERAL PARTNER FOR CAPITAL PRESERVATION FUND L.P. SINCE 6/17/2004; DUTIES INVOLVE INVESTING DECISIONS FOR THE CAPITAL PRESERVATION FUND L.P. CAPITAL PRESERVATION FUND L.P.; STARTED 12/1996; GENERAL PARTNER; 676 N. MICHIGAN AVE, #3605, CHICAGO, IL; SALES OF INVESTMENT SHARES PURSUANT TO RULE 506 OF REGULATION D; 40 HOURS PER MONTH; INVESTMENT RELATED; ACTIVITIES MAY OCCUR DURING MARKET HOURS.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 2, 2006 - Present
SORSBY FINANCIAL CORP.
Office #2: 100 East Huron Suite 3503, Chicago, IL 60611-2848Office #3: 100 East Huron Suite 3503, Chicago, IL 60611-2848RIA
BD
CRD#: 39437
Bonita Springs, FL
Current
November 21, 1996 - Present
SORSBY FINANCIAL CORP.
Office #2: 100 East Huron Suite 3503, Chicago, IL 60611-2848Office #3: 4851 Bonita Bay Blvd Suite 701, Bonita Springs, FL 34134RIA
BD
CRD#: 39437
Bonita Springs, FL
Past
July 10, 2000 - January 27, 2006
MUTUAL FUND ADVISORS LLC
BD
CRD#: 103936
CHICAGO, IL
Past
July 5, 1995 - March 11, 1997
MCGONAGLE SECURITIES, INC.
BD
CRD#: 19952
NAPERVILLE, IL
Past
October 23, 1980 - October 29, 1981
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
September 26, 1978 - June 23, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 25, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/23/2005)
RR
California(5/20/2015)
RR
Colorado(6/1/2015)
RR
Florida(1/8/1997)
IAR
Florida(11/25/2025)
RR
Georgia(12/11/1997)
RR
Illinois(1/6/1997)
IAR
Illinois(2/2/2006)
RR
Indiana(1/2/1997)
RR
Nevada(6/16/2015)
RR
Washington(1/7/1997)
RR
Wisconsin(1/13/1997)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 10/22/1981
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 1/26/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SORSBY FINANCIAL CORP.
SORSBY FINANCIAL CORP | SORSBY FINANCIAL CORP.
CRD#: 39437 / SEC#: 801-65995, 8-48718
RIA
Registered Investment Advisory firm - SEC (6/5/2009 Terminated)Florida
Registered Investment Advisory firm - SEC (11/25/2025 Approved)Illinois
Registered Investment Advisory firm - SEC (6/1/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
4851 Bonita Bay Blvd Suite 3503, Chicago, IL 60611-2848
Mailing Address
1222 Charlton Park Dr, Houston, TX 77077
Phone number
(312) 751-0469
Established
Illinois since 08/07/1995
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
1
FINRA licenses (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 25,470,217 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
