Full text of JAMES T. BORELLO & CO.'s X-17A-5 filed 2023-11-16 (period 2023-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 A | NNUAL REPORTS | | |---------------|--| | FORM X-17A-5 | | | PART III | | | OMB APPROVAL | | |---------------------------|--| | OM8 Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | SEC FILE NUMBER | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 193<br>FILING FOR THE PERIOD BEGINNING 10/01/2022 AND ENDING 09/30/2023 | FACING PAGE | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------|------------| | | MM/DD/YY | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | NAME OF FIRM: JAMES T. BORELLO & CO. | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>@ Broker-dealer __ Security-based swap dealer __ _ Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | 151 DUNDEE AVENUE | | | | | (No. and Street) | | | FAST DUNDEE | | 60118 | | (City) | (State) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING DANIEL J. BORELLO 847-426-0200 DANIEL@BORELLOS.COM (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* # LMHS, P.C. Certified Public Accountants and Advisors | 80 Washington Street, Bldg S Norwell | | MA | 02061 | |--------------------------------------------------|-----------------------|-----------------|--------------------------------------------| | (Address)<br>02/24/2009 | (City) | (State)<br>3373 | (Zip Code) | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, If applicable) | | | FOR OFFICIAL USE ONLY | | | \* Claims for exemption from the requirement that the annual reports of an Independent public accountant must be supported by a statement of facts and circumstances relled on as the basis of the exemption. See 17 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 required to respond unless the form displays a currently valid OMB control number. {1}----------------…Read the full text as markdown