Asim Mandhai has been Director, Business Head of BMO Asset Management since June 2026, is a control person of the firm and directly owns under 5% of it.
Bmo Asset Management Corp. is a Chicago, IL firm with $6.18B under management, 16 clients and 4 advisers in one office, as of its July 2026 filing.
Asim Mandhai’s longest registration was 5 years at GWN Securities Inc. (2008–2013).
- LPL Financial LLCAlso current– present · 3 yearsAdviser representative and broker · Firm CRD 6413
- GWN Securities Inc.– · 5 yearsGainesville, FL · Adviser representative · Firm CRD 128929
- LPL Financial Corporation– · 1 yearCorona, CA · Adviser representative · Firm CRD 6413
- Axa Advisors, LLC– · 3 yearsIrvine, CA · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
Asim Mandhai is registered as an investment adviser representative in California, since February 2024.
- CaliforniaSince 2 February 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 1 February 2024 |
| Series 7TO | General Securities Representative Examination | 29 September 2023 |
| Series 7 | General Securities Representative Examination | 14 November 2002 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- General Securities Representative Examination
- CRD
- 4582333
- Firm
- BMO Asset Management · CRD 106466
- Role
- Director, Business Head
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 2012
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Asim Mandhai work?
Asim Mandhai has been Director, Business Head of Bmo Asset Management Corp. since June 2026, and is a control person of the firm.
Is Asim Mandhai a financial advisor?
Yes. Asim Mandhai has a current investment-adviser registration in California.
How many years of experience does Asim Mandhai have?
Asim Mandhai has 13 years in the financial industry, since December 2012, across 3 adviser firms.
What exams has Asim Mandhai passed?
Asim Mandhai has passed 3 licensing exams: the Series 7, Series 7TO and Series 66. The earliest, the Series 7, was passed in November 2002.
Where was Asim Mandhai previously registered as an investment adviser?
Asim Mandhai has past investment-adviser registrations through GWN Securities Inc., June 2008 to October 2013; LPL Financial Corporation, October 2006 to May 2008; Axa Advisors, LLC, January 2003 to October 2006, across 3 firms.
Is Asim Mandhai registered with FINRA?
Yes. Asim Mandhai has a current broker registration, under CRD 4582333.
Source: FINRA BrokerCheck
How can I verify Asim Mandhai’s record?
Search CRD 4582333 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Asim Mandhai’s full registration record.
- Sean RooneyChief Financial Officer
- Dean FoliasChief Compliance Officer
- Thomas FonteChair
- Michael MirandaDirector
- Patricia WeitzmanDirector