Overlooking the Chicago River

Meet the Team

Overlooking the Chicago River

Meet the Team

231 South LaSalle St., 4th Floor
Chicago, IL 60604
231 South LaSalle St., 4th Floor
Chicago, IL 60604

James Sommerfield Jr.

Senior Compliance Officer & Agency Principal
Wintrust Wealth Management
CSCP®

James Sommerfield is Senior Compliance Officer & Agency Principal for Wintrust Wealth Management. Jim helps to oversee regulatory compliance for Great Lakes Advisors, ensuring policies and procedures are upheld. Jim chairs the GLA Trading & Proxy Committee and is a member of the Account Review and Liquidity Risk Committees.

Education and Professional Credentials 

  • Industry Start: 1996
  • Kansas State University, BS
  • Northern Illinois University, MBA
  • Certified Securities Compliance Professional, CSCP®
  • FINRA Series 65, 63, 31 ,7, 14, 53, 10, 9, and 24 registrations