Full text of JAMES T. BORELLO & CO.'s X-17A-5 filed 2022-11-21 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### JAMES T. BORELLO & CO. FINANCIAL STATEMENTS AND REPORT OF INDEPENDENT RECISTERED PUBLIC ACCOUNTING FIRM PURSUANTTO RULE l7a-5 SEPTEMBER30,2022 {1}------------------------------------------------ FACING PAGE lnformation Requlred Pursuant to Rules l7a-5,77a-12, and 18a-7 under the Securltles Exchange Act of <sup>1934</sup> UNlTED STATES SECURITIES AND EXCHANGE COMMISSION Washlngton, D.C.20549 ANNUAL REPORTS FORM X-17A-5 PART III AND ENDING MM/DD/YY OMB APPROVAL OMg Number:3215"0123 txpires: Oct. 31, 2023 Istimatcd avera8c burden hours per response: l2 SEC FILE NUMI][R MM/DD/YY FTLTNG FoR rHE pERroD BEGTNNTNG 1010112021 0913012022 A. REGISTRANT I DENTIFICATION NAME OF FIRM JAMES T. BORELLO & CO ryPE OF REGISTRANT (check all applicable boxes): El Broker-dealer fl Security-based swap dealer I Check here if respondent is also an OTC derivatives dealer [J Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 151 DUNDEE AVENUE EAST DUNDEE (No. and Street) IL 60118 (uty) (state) PERSON TO CONTACT WITH REGARD TO THIS FILING DANIEL J. BORELLO 847-426.0200 (Zip Code) DANTEL@BORELLOS.COM (Name) (Area Code - Telephone Number) (Email Address) B. ACCOU NTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* LMHS, P.C. Certified Public Accountants and Advisors (Name - if lndivldual, state last, first, and middle name) <sup>80</sup>Washington Street, Bldg S Norwell MA <sup>02061</sup> (Address) 0212412009 (city) (State) (zip Code) 3373 (Date of <sup>n</sup>wlth <sup>B</sup> atlorr Nurnber, if <sup>a</sup> licabl \* Claims for exemption from the requirement that the annual reports be covered by the reports of an lndependent public FOR OFFICIAL USE ONLY accountantmustbesupportedbyastatementoffactsandcircumstancesreliedonasthebaslsoftheexemptlon. See17 CFR 240.174-5(eXlXii), if applicable. Persons who are to respond to the coll€ctlon ol lnformatlon contalned ln thls form are not requlred to respond unless the form dlsplays a currently valld OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | t, | - J<br>(o<br>f<br>th<br>, t<br>th<br>kn<br>le<br>d<br>nd<br>b<br>el<br>ie<br>f,<br>th<br>O<br>ffi<br>)<br>at<br>be<br>B<br>O<br>RE<br>LL<br>st<br>r a<br>o<br>e<br>o<br>a<br>e<br>DA<br>NI<br>ET<br>m<br>y<br>ow<br>ge<br>rm<br>sw<br>ea<br>r<br>0<br>f<br>J<br>A<br>M<br>IS<br>O<br>f<br>T<br>. B<br>…Read the full text as markdown