Sandra K. Borello

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CRD#: 2303389

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sandra Kaye Borello was a registered financial professional .

Sandra is a previously registered financial professional and started their career in finance in 2012. Sandra had worked at 1 firm and has passed the Series 99TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 7, 2012 - November 23, 2021

JAMES T. BORELLO & CO.

CRD#: 16860

EAST DUNDEE, IL

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/6/2012

Investment Company Products/Variable Contracts Representative Examination

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.

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Sandra K. Borello

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JAMES T. BORELLO & CO.

Primary Firm SEC Registration

JAMES T. BORELLO & CO.

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 6/6/2012

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

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