AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DF

Dean A. Folias

BMO ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 3128644
DF

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 4, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Dean Allan Folias's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

February 1, 2021 - Present

BMO ASSET MANAGEMENT CORP.

Office #1: 320 S. Canal Street 12th Floor, Chicago, IL 60606
RIA
CRD#: 106466
Chicago, IL
Current

July 1, 2021 - Present

BMO NESBITT BURNS SECURITIES LTD.

Office #1: C/o Legal Dept. 9th Floor 1 First Canadian Place M5x 1a1, Toronto, Ontario, M5X 1A1
BD
CRD#: 44057
Toronto, Ontario,
Past

November 18, 2019 - August 2, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA
CRD#: 137115
CHICAGO, IL
Past

November 18, 2019 - August 27, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
CHICAGO, IL
Past

May 18, 2018 - December 31, 2020

BMO ASSET MANAGEMENT CORP.

RIA
CRD#: 106466
CHICAGO, IL
Past

May 18, 2018 - November 18, 2019

BMO INVESTMENT DISTRIBUTORS, LLC

BD
CRD#: 146711
CHICAGO, IL
Past

April 1, 2011 - April 25, 2018

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
CHICAGO, IL
Past

April 1, 2011 - April 25, 2018

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
CHICAGO, IL
Past

December 11, 2008 - December 31, 2011

HOWE BARNES CAPITAL MANAGEMENT, INC.

RIA
CRD#: 110715
CHICAGO, IL
Past

June 27, 2005 - September 16, 2013

HOWE BARNES HOEFER & ARNETT, INC.

BD
CRD#: 2240
CHICAGO, IL
Past

January 15, 2004 - July 6, 2005

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
CHICAGO, IL
Past

April 28, 2000 - July 6, 2005

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

October 1, 1999 - May 17, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 9, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC

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.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
Illinois
(2/1/2021)
RR
Illinois
(7/1/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/29/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/22/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/21/2003
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/4/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/2/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/15/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/1/1999
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 106466Chicago, IL 60606

TRUST BUT VERIFY

Monitor Dean Folias

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.