Lora J. Rommel

EHRLICH FINANCIAL GROUP

Laguna Niguel, CA 92677

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CRD#: 1925725

Professional summary

Lora J Rommel, CFP® is a registered financial advisor currently at EHRLICH FINANCIAL GROUP located in Laguna Niguel, California.

Lora is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Lora has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 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.

Insurance Sales. Y. 28202 Cabot Road, Suite 425, Laguna Niguel, CA, 92677. Insurance sales and servicing. Agent. 1 hour per month, all during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lora J Rommel's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

May 18, 2023 - Present

EHRLICH FINANCIAL GROUP

Office #1: 28202 Cabot Road Suite 425, Laguna Niguel, CA 92677

RIA

CRD#: 325595

Laguna Niguel, CA

Past

September 23, 2004 - May 22, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Laguna Niguel, CA

Past

June 21, 1995 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 21, 1995 - May 22, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Laguna Niguel, CA

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".

EHRLICH FINANCIAL GROUP

EHRLICH FINANCIAL GROUP | THE EHRLICH GROUP LLC

CRD#: 325595 / SEC#: 801-128007

RIA

Registered Investment Advisory firm - (5/18/2023 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

California
(5/19/2023)

IAR

Texas
(5/18/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/9/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 12/14/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 12/7/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 10/20/2004

General Securities Principal Examination

Current Firm

EHRLICH FINANCIAL GROUP

EHRLICH FINANCIAL GROUP | THE EHRLICH GROUP LLC

CRD#: 325595 / SEC#: 801-128007

RIA

Registered Investment Advisory firm - (5/18/2023 Approved)

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Contact information

Main Address

28202 Cabot Road Suite 425, Laguna Niguel, CA 92677

Mailing Address

Phone number

(949) 342-8852

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (6/23/2025)

Regulatory assets under management

Total Number of Accounts	778
AUM (Assets Under Management)	$ 225,832,244

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Lora J. Rommel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lora J Rommel's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

EHRLICH FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 6/9/1995

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1995

Series 9

Date: 12/14/2004

Series 10

Date: 12/7/2004

Series 24

Date: 10/20/2004

Current Firm

EHRLICH FINANCIAL GROUP

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EHRLICH FINANCIAL GROUP

TRUST BUT VERIFY

Contact information

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