James (Jim) Sommerfield
Specializing in the development, implementation, and management of the firm’s ongoing compliance program. Responsible for all aspects of regulatory compliance for both Dual Registrant Wintrust Investments (formerly Wayne Hummer Investments) and Investment Advisory Affiliate Great Lakes Advisors, LLC. Responsible for the implementation of compliance policies and procedures and surveillance of firm sales practices. In addition to these responsibilities, Mr. Sommerfield serves on a variety of firm committees and acts as Chairman for the Wintrust Investments Platform Committee.
Over 25 years of industry experience having worked previously as an Investor Services Representative with Focused Investments and as a Financial Advisor with Ameriprise (formerly American Express Financial Advisors). Currently hold the Certified Securities Compliance Professional (CSCP®) designation from the National Society of Compliance Professionals; have a Master’s Degree in Business Administration from Northern Illinois University; and a Bachelor's Degree in Finance from Kansas State University.