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