Effective: November 2, 2026

James T. Borello & Co. (“JTB,” “we,” “us”) is a registered investment adviser and broker-dealer. This notice describes how we collect, use, share, and protect your nonpublic personal information in both capacities.

What We Collect

We collect nonpublic personal information from what you provide on applications, agreements, questionnaires, tax documents, and other forms; from your transactions and accounts with us or others; and from custodians, product sponsors, and other parties that serve you. It may include your name, address, email, phone number, Social Security or taxpayer identification number, date of birth, income, assets, account balances, investment activity, tax information, and accounts at other institutions.

How We Share It

We do not disclose nonpublic personal information about current or former clients to nonaffiliated third parties except as permitted by law, including:

  • with custodians, broker-dealers, product issuers, and other parties as needed to open, maintain, and service your accounts and carry out your transactions;
  • with service providers that assist us in operating our business, such as technology, data processing, recordkeeping, cybersecurity, and reporting providers, who are subject to confidentiality, privacy, and information-security requirements;
  • with you, your authorized representatives, and professionals you ask us to work with;
  • with regulators, auditors, and others as required or permitted by law.

We do not disclose your information to nonaffiliated third parties for their own marketing. Tax return information received in connection with tax preparation is used and disclosed in accordance with Internal Revenue Code Section 7216 and applicable Treasury Regulations; we obtain your consent when required before using or disclosing it for any other purpose.

How We Protect It

We maintain administrative, technical, and physical safeguards designed to protect the confidentiality and security of your information, and we limit access to authorized personnel and service providers who need it to serve you and are subject to confidentiality and information-security requirements. If your information is subject to unauthorized access or use, we will investigate and notify affected individuals when required by applicable law.

Questions

Call (847) 426-0200 or write to James T. Borello & Co., 151 Dundee Avenue, East Dundee, IL 60118. If our practices change in a manner requiring notice under applicable law, we will provide a revised notice.

SMS/Mobile Messaging Privacy

James T. Borello & Co. may send SMS appointment reminders to clients who have provided verbal consent. Your mobile information will not be sold or shared with third parties for promotional or marketing purposes. All categories above exclude text messaging originator opt-in data and consent; this information will not be shared with any third parties. We will not share your opt-in to an SMS campaign with any third party for purposes unrelated to providing you with the services of that campaign. We may share your Personal Data, including your SMS opt-in or consent status, with third parties that help us provide our messaging services, including but not limited to platform providers, phone companies, and any other vendors who assist us in the delivery of text messages.