Full text of JAMES T. BORELLO & CO.'s X-17A-5 filed 2021-11-29 (period 2021-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # STATEMENT OF FINANCIAL CONDITION ### SEPTEMBER 30,2O2I {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHAN6E COMMISSION Washington, D,C. 20549 > ANNUAT REPORTS FORM X-17A-s # PART III FACING PAGE lnformation Required Pursuant to Rules L7a-5,t7a-!2, and 18a-7 under the Securities Exchange Act of <sup>1934</sup> FtL1NG FOR THE pERtOD BEG;NN1NG 10/01/?020 AND ENDTNG 00/30/20?1 MM/DO/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: James T. Borello & Co. TYPE OF REGISTRANT (check allapplicable boxes): El Broker-dealer E Security-based swap dealer D trlajor security-based swap participant E Check here if respondent is alsoan OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF EUSINESS: (Do not use a P.O. box no.) 151 Dundee Avenue East Dundee (No. and Street) IL 601 18 (city) PERSON TO CONTACT WITH REGARD TO THIS FILING DanielJ. Borello 847426-0200 (state) (zip code) daniel@borellos.com lName) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Lerner & Sipkin CPAs LLP (Name - if individual, state last, first, and middle name) <sup>420</sup>Lexington Avenue, Suite 2160 New York NY <sup>10170</sup> {Address} 04t't42oa9 {city) (Statel (Zip Code) 3352 (Oatc of with if stration <sup>N</sup> if FOR OFFICIAL USE ONTY <sup>t</sup>Claims for exemption from the requirement that the annual reports be covered by the repons of an independent public accountantmustbesupportedbyastatementoffactsandcircumstancesreliedonasthebasisoftheexemption. See17 cFR 240.17a-5(e)( 1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not requhed to respond unless the lorm dlsplays a currently valld OMB control number. OMB APPROVAT OMg Number: 3235.0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: l2 SEC FILE NUMBER | B<br>l<br>l<br>o<br>re<br>o<br>Da<br>ni<br>el<br>J. | 84<br>74<br>26<br>-0<br>20<br>0 | m<br>da<br>nie<br>l@<br>bo<br>llo<br>re<br>s.<br>co | | | |-----------------------------------------------------|---------------------------------------------------------------------------------|-----------------------------------------------------|--|--| | lN<br>e)<br>am | (A<br>- T<br>ele<br>ph<br>Nu<br>be<br>r)<br>rea<br>C<br>od<br>on<br>e<br>m<br>e | (E<br>il A<br>s)<br>dd<br>ma<br>res | | | {2}----------------------…Read the full text as markdown