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RD

Richard P. Dabrowski

Some features on this profile are disabled
CRD#: 2999424
RD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Paul Dabrowski was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 28, 2007 - September 21, 2012

BMO ASSET MANAGEMENT CORP.

RIA
CRD#: 106466
CHICAGO, IL
Past

December 16, 2005 - April 26, 2007

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA
CRD#: 137115
CHICAGO, IL
Past

December 16, 2005 - August 1, 2007

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
CHICAGO, IL
Past

April 11, 2005 - December 31, 2005

HARRISDIRECT LLC

RIA
CRD#: 42159
CHICAGO, IL
Past

April 11, 2005 - December 31, 2005

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ
Past

October 19, 1999 - January 4, 2005

NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC

RIA
CRD#: 104606
WHEATON, IL
Past

July 14, 1999 - January 4, 2005

NICHOLAS-APPLEGATE SECURITIES LLC

BD
CRD#: 31205
SAN DIEGO, CA
Past

June 22, 1999 - July 14, 1999

NICHOLAS-APPLEGATE SECURITIES LLC

BD
CRD#: 31205
Past

August 27, 1998 - July 30, 1999

MERCER SECURITIES, INC.

BD
CRD#: 44821
CHICAGO, IL
Past

March 18, 1998 - November 9, 1998

MARSH & MCLENNAN SECURITIES CORPORATION

BD
CRD#: 556
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BA
BMO ASSET MANAGEMENT CORP.
BMO ASSET MANAGEMENT CORP. | HARRIS INVESTMENT MANAGEMENT INC | DELTA ASSET MANAGEMENT, A DIVISION OF BMO ASSET MANAGEMENT CORP. | CEDAR STREET ADVISORS | BMO GLOBAL ASSET MANAGEMENT U.S. | BMO GLOBAL ASSET MANAGEMENT | BMO ASSET MANAGEMENT U.S.

CRD#: 106466 / SEC#: 801-35533

RIA
Registered Investment Advisory firm - (11/17/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/29/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/8/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1998
General Securities Representative Examination

Current Firm

BA
BMO ASSET MANAGEMENT CORP.
BMO ASSET MANAGEMENT CORP. | HARRIS INVESTMENT MANAGEMENT INC | DELTA ASSET MANAGEMENT, A DIVISION OF BMO ASSET MANAGEMENT CORP. | CEDAR STREET ADVISORS | BMO GLOBAL ASSET MANAGEMENT U.S. | BMO GLOBAL ASSET MANAGEMENT | BMO ASSET MANAGEMENT U.S.

CRD#: 106466 / SEC#: 801-35533

RIA
Registered Investment Advisory firm - (11/17/1989 Approved)
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Contact information

Main Address
320 S. Canal Street 12th Floor, Chicago, IL 60606
Mailing Address
Phone number
(312) 461-4002
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BMO AM-ADV PART 2A AMENDMENT_05.15.2025 (5/15/2025)

Regulatory assets under management

Total Number of Accounts16
AUM (Assets Under Management)$ 5,186,280,670

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BMO ASSET MANAGEMENT CORP.

CRD#: 106466

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