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Joseph Romano
25 Years of Experience
Palm Desert, CA
1 DisclosureBrokerSells Insurance
Joseph Romano is a registered investment advisor, based in Palm Desert, CA, with 25 years of industry experience.
Location
44801 Village Court, Suite 201, Palm Desert, CA, 92260
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Regulatory History (1)
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Customer Dispute
August 2004Settled
Other Business ActivitiesSells Insurance
Joseph owns an S-Corp for RIA revenue, an airplane ownership LLC, and is the owner of Fortem Loans LLC (a residential mortgage broker). He is also the president of Fortem Financial (a wealth management RIA) and a managing member of Fortem Financial Insurance Services, which conducts insurance business, dedicating minimal time to each of these activities except for Fortem Financial, which takes minimal time.
Employment History
Current Registrations
M. S. Howells & CO.
January 2024 - Present · 2 yrs 4 mos
M. S. Howells & CO.Broker
January 2024 - Present · 2 yrs 4 mos
Fortem Financial Group, LLC
February 2018 - Present · 8 yrs 3 mos
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
August 2016 - December 2023 · 7 yrs 4 mos
Fortem Financial, LLC
July 2016 - February 2018 · 1 yr 7 mos
Hightower Securities, LLCBroker
April 2011 - July 2016 · 5 yrs 3 mos
Hightower Advisors, LLC
April 2011 - July 2016 · 5 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 2000 - May 2011 · 11 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2000 - May 2011 · 11 yrs 2 mos
State Registrations10 states
AKAZCACOFLNVTXVAWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.