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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alfred Sommerfield is a financial advisor at Great Lakes Advisors, LLC in Chicago, IL. James has been in the financial industry since March 1997 and has a wide range of experience, including portfolio management, financial planning, and compliance. James is a registered representative with the Securities and Exchange Commission (SEC) and is licensed in 51 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Fulcrum fee; asset-based fee contingent on performance
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2
IL
11/16/2001 - Present
Great Lakes Advisors, LLC (CHICAGO IL)
IL
06/14/2006 - 12/07/2006
FOCUSED INVESTMENTS L.L.C. (CHICAGO IL)
IL
06/19/1998 - 01/03/2001
FOCUSED INVESTMENTS L.L.C. (CHICAGO IL)
IL
06/09/1998 - 07/31/2000
WAYNE HUMMER INVESTMENTS L.L.C. (CHICAGO IL)
MN
03/17/1997 - 06/02/1998
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
03/17/1997 - 06/02/1998
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 01/30/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/14/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/30/2005
Series 14 - Compliance Officer Examination
BC
Issued 06/01/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/04/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/27/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/16/2001
Series 4 - Registered Options Principal Examination
BC
Issued 03/11/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 03/15/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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