JS
James A. Sommerfield
GREAT LAKES ADVISORS
CHICAGO, IL 60606
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CRD#: 2841304
JS
Professional summary
James Alfred Sommerfield JR is a registered financial advisor currently at GREAT LAKES ADVISORS, LLC located in Chicago, Illinois.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 14, Series 53, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
GREAT LAKES ADVISORS IS LOCATED AT 231 S. LASALLE ST. 4TH FLOOR, CHICAGO, IL 60604. INVESTMENT-RELATED, AFFILIATED INVESTMENT ADVISOR. POSITION IS A SENIOR COMPLIANCE OFFICER ROLE WITH� 40 HOURS PER MONTH, OF WHICH 40 HOURS PER MONTH ARE DURING SECURITIES TRADING HOURS. RESPONSIBILITIES INCLUDES FUNCTIONS OF COMPLIANCE, REVIEWING MARKETING AND ADVERTISING MATERIALS, MAINTAIN REGULATORY FILINGS AND INTERNAL AUDITS.� START DATE OF POSITION IS 01/01/2001. WHI COMPLIANCE HAS REVIEWED THE OUTSIDE EMPLOYMENT AND HAVE DETERMINED THAT ACTIVITY: 1.) DOES NOT INTERFERE WITH OR COMPROMISE EMPLOYEE'S RESPONSIBILITIES TO WTI, AND 2.) WILL NOT BE VIEWED BY THE PUBLIC AS PART OF WTI'S BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view James Alfred Sommerfield JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 16, 2001 - Present
GREAT LAKES ADVISORS, LLC
Office #1: 300 South Wacker Drive, Chicago, IL 60606RIA
CRD#: 110757
CHICAGO, IL
Past
June 14, 2006 - December 7, 2006
FOCUSED INVESTMENTS L.L.C.
BD
CRD#: 37532
CHICAGO, IL
Past
May 23, 2005 - January 28, 2025
WINTRUST INVESTMENTS LLC
RIA
CRD#: 875
Chicago, IL
Past
January 2, 2001 - August 26, 2025
WINTRUST INVESTMENTS LLC
BD
CRD#: 875
Chicago, IL
Past
June 19, 1998 - January 3, 2001
FOCUSED INVESTMENTS L.L.C.
BD
CRD#: 37532
CHICAGO, IL
Past
June 9, 1998 - July 31, 2000
WINTRUST INVESTMENTS LLC
BD
CRD#: 875
CHICAGO, IL
Past
March 17, 1997 - June 2, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 17, 1997 - June 2, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GREAT LAKES ADVISORS, LLC
FOCUSED ADVISORS | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT | WINTRUST CAPITAL MANAGEMENT, LLC | WAYNE HUMMER PREMIER ADVISORS | WAYNE HUMMER MANAGEMENT CO | WAYNE HUMMER INVESTMENT MANAGEMENT SERVICES | WAYNE HUMMER ASSET MANAGEMENT COMPANY, L.L.C. | WAYNE HUMMER ASSET MANAGEMENT COMPANY | LAKE FOREST CAPITAL MANAGEMENT COMPANY | GREAT LAKES ADVISORS, LLC | GREAT LAKES ADVISORS, INC. | GREAT LAKES ADVISORS HOLDINGS, LLC
CRD#: 110757 / SEC#: 801-16937
RIA
Registered Investment Advisory firm - (3/24/1982 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Illinois(11/16/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
GREAT LAKES ADVISORS, LLC
FOCUSED ADVISORS | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT | WINTRUST CAPITAL MANAGEMENT, LLC | WAYNE HUMMER PREMIER ADVISORS | WAYNE HUMMER MANAGEMENT CO | WAYNE HUMMER INVESTMENT MANAGEMENT SERVICES | WAYNE HUMMER ASSET MANAGEMENT COMPANY, L.L.C. | WAYNE HUMMER ASSET MANAGEMENT COMPANY | LAKE FOREST CAPITAL MANAGEMENT COMPANY | GREAT LAKES ADVISORS, LLC | GREAT LAKES ADVISORS, INC. | GREAT LAKES ADVISORS HOLDINGS, LLC
CRD#: 110757 / SEC#: 801-16937
RIA
Registered Investment Advisory firm - (3/24/1982 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
231 S. Lasalle Street 4th Floor, Chicago, IL 60604
Mailing Address
Po Box 750, Chicago, IL 60606-0750
Phone number
(312) 431-1700
Established
Firm type
Fiscal year end
# of Employees
86
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,771 |
| AUM (Assets Under Management) | $ 15,298,949,943 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
