Unclaimed Profile

James Alfred Jr Sommerfield

WINTRUST INVESTMENTS, LLC·CHICAGO, Illinois

SIE, Series 4, Series 7, Series 9, Series 10, Series 14, Series 24, Series 31, Series 52TO, Series 53, Series 63, Series 65Clean record24 years registeredWINTRUST INVESTMENTS, LLC

231 SOUTH LASALLE STREET, CHICAGO, IL 60604CRD# 2841304Firm CRD# 875

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Alfred Jr Sommerfield · CHICAGO, IL

Registration

CRD #2841304 · WINTRUST INVESTMENTS, LLC · 24 years registered

Brand Profile

Not yet started

Career History

LPL FINANCIAL LLC

Mar 2026 – present

GREAT LAKES ADVISORS, LLC

Jan 2026 – Mar 2026

CHICAGO, IL

WINTRUST INVESTMENTS

May 2005 – Jan 2025

Chicago, IL

GREAT LAKES ADVISORS, LLC

Nov 2001 – Dec 2025

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 9

Series 10

Series 14

Series 24

Series 31

Series 52TO

Series 53

Series 63

Series 65

Registration record

First registered · November 16, 2001

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

WINTRUST INVESTMENTS, LLC

CRD 875 · SEC 801-64233

AUM

$14.4B

Regulatory assets under management

Employees

178

10,969 client accounts

Services offered by WINTRUST INVESTMENTS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at WINTRUST INVESTMENTS, LLC →

Introduction

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Frequently Asked Questions

What services does James Alfred Jr Sommerfield offer?

James Alfred Jr Sommerfield specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in CHICAGO, Illinois for a consultation.

What are James Alfred Jr Sommerfield's credentials?

James Alfred Jr Sommerfield is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Alfred Jr Sommerfield located?

James Alfred Jr Sommerfield is based in CHICAGO, Illinois, working with WINTRUST INVESTMENTS, LLC. Their office serves clients in the CHICAGO metropolitan area and surrounding communities.

How does James Alfred Jr Sommerfield charge for services?

James Alfred Jr Sommerfield's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WINTRUST INVESTMENTS, LLC?

WINTRUST INVESTMENTS, LLC has approximately 178 employees and manages $14.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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