James Thomas Borello
Professional Summary
James Thomas Borello, who also goes by Jim Borello, is a registered financial advisor currently at JAMES T. BORELLO & CO. located in East Dundee, Illinois. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 4 firms and has passed the Series 63, Series 99TO, Series 6TO, SIE, Series 7, Series 51 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Borello
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
JAMES T. BORELLO & CO.
Contact Information
Main Address
151 Dundee Ave., East Dundee, IL 60118Mailing Address
151 Dundee Ave., East Dundee, IL 60118Phone Number
(847) 426-0200Established
Illinois since 02/14/1990Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Small# of Employees
4SEC notice filing (23 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
FINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
700AUM (Assets Under Management)
$514,080,273Similar Advisors
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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.
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Primary Firm SEC Registration
JAMES T. BORELLO & CO.
State Registrations and Notice Filings
(11/13/1991)
(2/11/1998)
(1/14/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 1985About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
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CRS (Client Relationship Summary) - BD
Click below to view James Thomas Borello's CRS (Customer Relationship Summary).
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