This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

LPL FINANCIAL LLC

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Apr 14, 1997earliest registration or exam on IAPD

Years in industry

29derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S65|S63

First exam

Apr 14, 1997

First registration

Nov 16, 2001

Dual registered

yes, broker-dealer

IAPD individual key

2841304

• Occurred

  Mar 31, 2026
  Advisor changed firm

  James Alfred Sommerfield left Great Lakes Advisors, Llc for Lpl Financial Llc (registered 2026-03-02)

  Form ADVobserved 3 days ago
• Occurred

  Dec 31, 2025
  Advisor changed firm

  James Alfred Sommerfield left Great Lakes Advisors, Llc for Wintrust Investments (registered 2005-05-23)

  Form ADVobserved 3 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:196b5dee-111a-2090-d2b5-8a9024ea2654

First observed

Nov 16, 2001

Last observed

Sep 14, 2026 4 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.