Overlooking the Chicago River

Meet the Team

Overlooking the Chicago River

Meet the Team

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