DB
Daniel J. Borello
JAMES T. BORELLO & CO.
EAST DUNDEE, IL 60118
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CRD#: 6691474
DB
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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel James Borello's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel James Borello's 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®
NoneExperience
Current
September 26, 2016 - Present
JAMES T. BORELLO & CO.
Office #1: 151 Dundee Avenue, East Dundee, IL 60118Office #2: 151 Dundee Ave., East Dundee, IL 60118RIA
BD
CRD#: 16860
EAST DUNDEE, IL
Current
September 6, 2016 - Present
JAMES T. BORELLO & CO.
Office #1: 151 Dundee Ave., East Dundee, IL 60118Office #2: 151 Dundee Ave., East Dundee, IL 60118RIA
BD
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".
JT
JAMES T. BORELLO & CO.
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)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
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
RR
Illinois(9/12/2016)
IAR
Illinois(9/26/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 10/20/2017
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
JT
JAMES T. BORELLO & CO.
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)BD
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
4
SEC notice filing (23 States and Territories)
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 700 |
| AUM (Assets Under Management) | $ 514,080,273 |
Red Flags
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Company Information
JAMES T. BORELLO & CO.
CRD#: 16860East Dundee, IL 60118TRUST BUT VERIFY
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