Lori E. Comanich

CETERA INVESTMENT ADVISERS LLC

Baytown, TX

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CRD#: 2840946

Professional summary

Lori Eshbach Comanich, who also goes by Lori Nicole Eshbach, Lori Eshbach Smith, Lori Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Baytown, Texas and CETERA WEALTH SERVICES, LLC located in Baytown, Texas.

Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Lori has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lori Nicole Eshbach | Lori Eshbach Smith | Lori Smith

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.

1) REAL ESTATE AGENT OF KELLER WILLIAMS; POSITION: Real Estate Agent NATURE: Real Estate Agent INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2022; ADDRESS: 700 Rollingbrook, Suite E, Baytown TX 77521: Real Estate Agent 2) CASA DE COLE REALTY GROUP; POSITION: Sole proprietorship NATURE: Establishment of realty group in order to run real estate business through Keller Williams Elite brokerage with other agents on my "team." INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 08/01/2022; ADDRESS: 5003 Camp Creek Rd, Baytown TX 77523: Team lead real estate agent 3) TILLER & CO; POSITION: My office sits inside of the Tiller & Co. tax office NATURE: I simply have an office inside of the tax practice but am not involved in any tax prep INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/13/2020; ADDRESS: 1300 Rollingbrook Drive, Suite 603, Baytown TX 77521: none 4) TRUE NORTH PRIVATE WEALTH PARTNERS, LLC POSITION: Advisory Consultant NATURE: financial services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2025 ADDRESS: 1300 Rollingbrook Drive, Suite 603, Baytown TX 77521, United States DESCRIPTION: client service prospecting, advisory consulting, placing trades, building proposals

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Eshbach Comanich'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®

None

Experience

Current

July 21, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Baytown, TX

Current

July 21, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1300 Rollingbrook Drive Suite 603, Baytown, TX 77521

CRD#: 13572

Baytown, TX

Past

January 20, 2020 - September 8, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Baytown, TX

Past

January 20, 2020 - September 8, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Baytown, TX

Past

December 20, 2010 - January 9, 2020

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

December 15, 2010 - January 9, 2020

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

HOUSTON, TX

Past

April 12, 2010 - November 8, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BAYTOWN, TX

Past

March 29, 2010 - November 8, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BAYTOWN, TX

Past

January 3, 2007 - March 31, 2010

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

BAYTOWN, TX

Past

January 6, 2006 - March 31, 2010

J.W. COLE FINANCIAL, INC.

CRD#: 124583

BAYTOWN, TX

Past

June 22, 2000 - December 2, 2005

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

December 2, 1999 - June 2, 2000

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

March 27, 1997 - September 21, 1999

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(7/21/2025)

IAR

Texas
(7/21/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/25/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/1997

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: 5/9/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/26/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/21/2000

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Lori E. Comanich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Eshbach Comanich's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

INVESCO DISTRIBUTORS, INC.

INVESCO ADVISERS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

INVESCO DISTRIBUTORS, INC.

NATIONAL PLANNING CORPORATION

INVESCO DISTRIBUTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/2006

Series 63

Date: 2/12/1997

SIE

Date: 10/1/2018

Series 7

Date: 5/9/2006

Series 6

Date: 3/26/1997

Series 26

Date: 12/21/2000

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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