Joseph G. Romano

FORTEM FINANCIAL GROUP | Founding Partner, President

Palm Desert, CA 92260

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CRD#: 4140354

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Giorgio Romano III'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

February 9, 2018 - Present

FORTEM FINANCIAL GROUP, LLC

Office #1: 44801 Village Court Suite 201, Palm Desert, CA 92260

RIA

CRD#: 291662

Palm Desert, CA

Current

January 3, 2024 - Present

M. S. HOWELLS & CO.

Office #1: 44801 Village Court Ste 201, Palm Desert, CA 92260

CRD#: 104100

Palm Desert, CA

Past

August 25, 2016 - December 31, 2023

PURSHE KAPLAN STERLING INVESTMENTS

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

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

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".

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.

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

Alaska
(1/29/2024)

Arizona
(1/23/2024)

IAR

California
(2/9/2018)

California
(1/3/2024)

Colorado
(1/4/2024)

Florida
(1/8/2024)

Nevada
(11/14/2025)

IAR

Texas
(7/20/2018)

Virginia
(1/4/2024)

Washington
(4/12/2024)

Wisconsin
(1/3/2024)

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 66

Date: 5/8/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/27/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FORTEM FINANCIAL GROUP, LLC

FORTEM FINANCIAL | FORTEM FINANCIAL GROUP, LLC

CRD#: 291662 / SEC#: 801-112300

RIA

Registered Investment Advisory firm - (1/25/2018 Approved)

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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

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORTEM FINANCIAL GROUP, LLC PART 2A BROCHURE (11/12/2025)

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	Cover Page	Report
07/29/2024	Cover Page	Report
09/20/2023	Cover Page	Report
01/03/2023	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Joseph G. Romano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Giorgio Romano III's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTEM FINANCIAL GROUP, LLC

M. S. HOWELLS & CO.

PURSHE KAPLAN STERLING INVESTMENTS

FORTEM FINANCIAL, LLC

HIGHTOWER ADVISORS, LLC

HIGHTOWER SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FORTEM FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/8/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/27/2000

FINRA

Current Firm

FORTEM FINANCIAL GROUP, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FORTEM FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

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