Daniel James Borello
Professional Summary
Daniel James Borello is a registered financial advisor currently at JAMES T. BORELLO & CO. located in East Dundee, Illinois. Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Daniel has worked at 1 firm and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6, Series 28, 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
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
10 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
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(9/12/2016)
(9/26/2016)
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 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2016About the Series 6 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Oct 2017About the Series 28 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 2016About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
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CRS (Client Relationship Summary) - BD
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