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President, Chief Compliance Officer · James T. Borello & Co.

James Thomas Borello

CRD 1295014 · Named on Form ADV at one SEC-registered adviser

At a glance

James T. Borello & Co., an SEC-registered broker-dealer firm based in East Dundee, IL with $514 million in regulatory assets, lists James Thomas Borello on its Form ADV as President, Chief Compliance Officer, a control person.

Firms and roles

  • James T. Borello & Co.President, Chief Compliance OfficerBroker-dealer firm · East Dundee, IL · $514M in regulatory assets

AtlasMembers

James’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

SEC adviser record

Registered since
1998 (28 years)
Designations
None on file
Exams
Series 63
Registered in
2 states
Also a broker representative
Yes
Disclosures on record
None

AtlasMembers

James’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
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Previous firms, with start and end dates
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Employment history
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States they’re registered in
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Outside business activities
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When they joined their current firm, and their firm’s growth
Locked
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Daniel James BorelloPrincipal Financial Officer, Principal Operations Officer, Finop & Director, James T. Borello & Co.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For James’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.