Jim Sommerfield is Senior Compliance Officer & Agency Principal for Wintrust Wealth Management. Jim works with the Compliance team to develop, implement, train, and monitor the firm’s compliance program to ensure regulatory compliance at Great Lakes Advisors (“GLA”) and affiliate Wintrust Investments.  At Wintrust, Jim serves on a number of committees, currently as a voting member of the GLA Account Review and Valuation Committees as well as a non-voting member of the Wintrust Wealth Management Risk and Audit Committees.

Jim started his career with Wintrust in 1998 and joined Great Lakes Advisors in 2001.  He previously worked as a Financial Advisor with Ameriprise Financial.  Jim is a member of the National Society of Compliance Professionals (“NSCP”) and is a member of the local Chicago CCO Group.  Jim enjoys public speaking and will occasionally participate as a panelist or speaker at compliance related conferences.  Jim also serves his Alma Matter, Kansas State University, as an Executive Mentor to its College of Business students.

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
• Illinois Life, Health, and Variable Contracts Insurance Licensee