JR
Joseph G. Romano
FORTEM FINANCIAL GROUP | Founding Partner, President
Palm Desert, CA 92260
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CRD#: 4140354
JR
Professional summary
Joseph Giorgio Romano III, AIF®, who also goes by Joseph G Romano III, is a registered financial advisor currently at FORTEM FINANCIAL GROUP, LLC located in Palm Desert, California and M. S. HOWELLS & CO. located in Palm Desert, California.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Trading individual securities
Financial planning
Trust & estate planning
Loans/credit services
Institutional consulting
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
Are you a "fiduciary"?
Yes
Aliases
Joseph G Romano Iii
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. JGR Capital Management, Investment-related- Yes; 48700 Orchard Dr, Indio, CA 92201; Nature- S Corp- Flow through entity for RIA revenue; Position/Title- Owner; Start date- 01.01.2021; Approximately 1 hour per month; 1 hour during trading hours; Description- Sole S-Corp to receive RIA Income 2. JGR Logistics LLC; Non-Investment related; 48700 Orchard Dr, Indio, CA 92201; Nature- Airplane ownership LLC; Position/title- Owner; Start date- 06.01.2016; Approximately 2 hours per month; 1 hour during trading hours; Description- LLC in which plane is owned 3. Desert Classic Charities; Non-Investment related; 78080 Calle Amigo La Quinta, CA 92253; Nature- Raising Money for local charities in the Coachella Valley; Position/Title- Voluntary Board Member; Start date- 1.1.2017; Approximately less than 1 hour per month; less than 1 hour during trading hours; Description- raise money for local charities 4. The Warburton Benefitting St. Jude; Non-Investment related; 501 St. Jude Place Memphis, TN 38105; Nature- Charity event benefiting St. Jude; Position/Title- Voluntary Board Member- Vice Chairman; Start date- 1.1.2011; Approximately 1 hour per month; 0 hour during trading hours; Description- Charity event benefiting St. Jude once a year 5. Fortem Loans LLC; Non-Investment related; 44801 Village Court STE 201 Palm Desert, CA 92201; Nature- Residential Mortgage Broker; Position/Title- Owner; Start date- 4.1.23; Approximately 2 hour per month; 20 hour during trading hours; Description- Mortage broker 6. Next Level Doors and Millwork ESOP; Non-Investment related; 82585 Showcase Pkwy STE B-102 Indio, CA 92203; Nature- ESOP in Construction business; Position/Title- Voluntary Board Member; Start date- 9.1.23; Approximately less than 1 hour per year; 0 hour during trading hours; Description- ESOP owned company in the construction business 7. Fortem Financial; Investment related- yes; 44801 Village Court STE 201 Palm Desert, CA 92260; Nature- RIA; Position/Title- President; Start date- 7.16.16; Approximately 160 hours per year; 160 hours during trading hours; Description- Wealth Management 8. Fortem Financial Insurance Services. Not Investment Related. 44801 Village Court, Suite 201, Palm Desert, CA 92260. Insurance. Managing Member. Start 1/1/2017. 1 hour per month. Insurance business done through this company. 9. M.S. Howells & Co. Broker Dealer Registered Representative Since 01/2024 Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Giorgio Romano III's 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®
Experience
Current
February 9, 2018 - Present
FORTEM FINANCIAL GROUP, LLC
Office #1: 44801 Village Court Suite 201, Palm Desert, CA 92260RIA
CRD#: 291662
Palm Desert, CA
Current
January 3, 2024 - Present
M. S. HOWELLS & CO.
Office #1: 44801 Village Court Ste 201, Palm Desert, CA 92260BD
CRD#: 104100
Palm Desert, CA
Past
August 25, 2016 - December 31, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Palm Desert, CA
Past
July 25, 2016 - February 9, 2018
FORTEM FINANCIAL, LLC
RIA
CRD#: 283097
PALM DESERT, CA
Past
April 29, 2011 - July 15, 2016
HIGHTOWER ADVISORS, LLC
RIA
CRD#: 145323
PALM DESERT, CA
Past
April 29, 2011 - July 15, 2016
HIGHTOWER SECURITIES, LLC
BD
CRD#: 116681
PALM DESERT, CA
Past
May 5, 2000 - May 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
INDIAN WELLS, CA
Past
March 28, 2000 - May 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
INDIAN WELLS, 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".
FF
FORTEM FINANCIAL GROUP, LLC
FORTEM FINANCIAL | FORTEM FINANCIAL GROUP, LLC
CRD#: 291662 / SEC#: 801-112300
RIA
Registered Investment Advisory firm - (1/25/2018 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.RR
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
RR
Alaska(1/29/2024)
RR
Arizona(1/23/2024)
IAR
California(2/9/2018)
RR
California(1/3/2024)
RR
Colorado(1/4/2024)
RR
Florida(1/8/2024)
IAR
Texas(7/20/2018)
RR
Virginia(1/4/2024)
RR
Washington(4/12/2024)
RR
Wisconsin(1/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORTEM FINANCIAL GROUP, LLC
FORTEM FINANCIAL | FORTEM FINANCIAL GROUP, LLC
CRD#: 291662 / SEC#: 801-112300
RIA
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Contact information
Main Address
44801 Village Court #201, Palm Desert, CA 92260
Mailing Address
Phone number
(760) 206-8500
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 957 |
| AUM (Assets Under Management) | $ 528,544,068 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/25/2025 | ||
| 07/29/2024 | ||
| 09/20/2023 | ||
| 01/03/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FORTEM FINANCIAL GROUP, LLC
Founding Partner, PresidentCRD#: 291662Palm Desert, CA 92260TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
