Dean Allan Folias
Professional Summary
Dean Allan Folias is a registered financial advisor currently at BMO ASSET MANAGEMENT CORP. located in Chicago, Illinois and BMO NESBITT BURNS SECURITIES LTD.. Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dean has worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 14, Series 53, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
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.
Contact Information
Main Address
320 S. Canal Street 12th Floor, Chicago, IL 60606Phone Number
(312) 461-4002# of Employees
5SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
21AUM (Assets Under Management)
$6,176,443,433Similar Advisors
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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.
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Primary Firm SEC Registration
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.
State Registrations and Notice Filings
(2/1/2021)
(7/1/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jun 1999SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Dean Allan Folias's CRS (Customer Relationship Summary).
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