James T. Borello

JAMES T. BORELLO & CO.

EAST DUNDEE, IL 60118

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CRD#: 1295014

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Borello

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 James Thomas Borello's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Thomas Borello'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

February 11, 1998 - Present

JAMES T. BORELLO & CO.

Office #1: 151 Dundee Avenue, East Dundee, IL 60118Office #2: 151 Dundee Ave., East Dundee, IL 60118

RIA

CRD#: 16860

EAST DUNDEE, IL

Current

March 17, 1986 - Present

JAMES T. BORELLO & CO.

Office #1: 151 Dundee Ave., East Dundee, IL 60118Office #2: 151 Dundee Ave., East Dundee, IL 60118

RIA

CRD#: 16860

EAST DUNDEE, IL

Past

July 16, 1992 - December 31, 1995

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

October 31, 1986 - June 9, 1987

ABACUS EQUITY SERVICES, INC.

CRD#: 11271

Past

November 1, 1984 - October 31, 1986

CARDELL & ASSOCIATES, INCORPORATED

CRD#: 7700

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".

JAMES T. BORELLO & CO.

CRD#: 16860 / SEC#: 801-114233, 8-43398

RIA

Registered Investment Advisory firm - SEC (11/5/2018 Approved)

Illinois

Registered Investment Advisory firm - SEC (11/5/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(11/13/1991)

IAR

Illinois
(2/11/1998)

IAR

Texas
(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

State Security Law Exam

Series 63

Date: 11/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 1/10/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/25/1985

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

JAMES T. BORELLO & CO.

CRD#: 16860 / SEC#: 801-114233, 8-43398

RIA

Registered Investment Advisory firm - SEC (11/5/2018 Approved)

Illinois

Registered Investment Advisory firm - SEC (11/5/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

151 Dundee Ave., East Dundee, IL 60118

Mailing Address

151 Dundee Ave., East Dundee, IL 60118

Phone number

(847) 426-0200

Established

Illinois since 02/14/1990

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (23 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

JAMES T BORELLO & CO. PART 2A DISCLOSURE BROCHURE (10/21/2025)

Direct owners and executive officers

Name	Position	CRD#
BORELLO, DANIEL JAMES	PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINOP & DIRECTOR	6691474
BORELLO, JAMES THOMAS	PRESIDENT, CHIEF COMPLIANCE OFFICER	1295014

Regulatory assets under management

Total Number of Accounts	700
AUM (Assets Under Management)	$ 514,080,273

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

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James T. Borello

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Borello's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Thomas Borello's CRS (Customer Relationship Summary).

Certified licenses

Experience

JAMES T. BORELLO & CO.

WATERSTONE FINANCIAL GROUP, INC.

ABACUS EQUITY SERVICES, INC.

CARDELL & ASSOCIATES, INCORPORATED

Primary Firm SEC Registration

JAMES T. BORELLO & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/19/1991

Series 99TO

Date: 1/2/2023

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1984

Series 51

Date: 1/10/2003

Series 26

Date: 10/25/1985

FINRA

Current Firm

JAMES T. BORELLO & CO.

Contact information

SEC notice filing (23 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

JAMES T. BORELLO & CO.

TRUST BUT VERIFY

Contact information

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