Dean Folias has been Chief Compliance Officer of BMO Asset Management since January 2023, 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.
Dean Folias’ longest registration was 7 years at Raymond James & Associates, Inc. (2011–2018). Before joining BMO Asset Management in 2021, Dean Folias was registered through Bmo Harris Financial Advisors, Inc and Raymond James & Associates, Inc.
- Bmo Asset Management Corp.Current– present · 5 yearsChicago, IL · Adviser representative · Firm CRD 106466
- Bmo Harris Financial Advisors, Inc– · 1 yearChicago, IL · Adviser representative · Firm CRD 137115
- Raymond James & Associates, Inc.– · 7 yearsChicago, IL · Adviser representative · Firm CRD 705
- Howe Barnes Capital Management, Inc.– · 3 yearsChicago, IL · Adviser representative · Firm CRD 110715
- Securities America Advisors, Inc.– · 1 yearChicago, IL · Adviser representative · Firm CRD 110518
Investment adviser representative registrations
Dean Folias is registered as an investment adviser representative in Illinois, since February 2021.
- IllinoisSince 1 February 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 21 November 2003 |
| Series 66 | Uniform Combined State Law Examination | 29 May 2001 |
| Series 53 | Municipal Securities Principal Examination | 4 May 2001 |
| Series 4 | Registered Options Principal Examination | 2 March 2001 |
| Series 24 | General Securities Principal Examination | 15 June 2000 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 1 June 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 February 1999 |
| Series 7 | General Securities Representative Examination | 8 February 1999 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Compliance Officer Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Combined State Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Dean Allan Folias
- CRD
- 3128644
- Firm
- BMO Asset Management · CRD 106466
- Role
- Chief Compliance Officer
- Office
- 320 S. CANAL STREET, 12TH FLOOR, Chicago, IL 60606
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Dean Folias work?
Dean Folias has been Chief Compliance Officer of Bmo Asset Management Corp. since January 2023, and is a control person of the firm.
Is Dean Folias a financial advisor?
Yes. Dean Folias has a current investment-adviser registration in Illinois, through BMO Asset Management since February 2021.
How many years of experience does Dean Folias have?
Dean Folias has 27 years in the financial industry, since March 1999, across 5 adviser firms.
What exams has Dean Folias passed?
Dean Folias has passed 12 licensing exams: the Series 7, Series 63, Series 8, Series 24, Series 4, Series 53, Series 66, Series 3, Series 10, Series 9, Series 14 and Series 52TO. The earliest, the Series 7, was passed in February 1999. FINRA credited Dean Folias with the SIE, which began in October 2018.
Where did Dean Folias work before BMO Asset Management?
Before BMO Asset Management, Dean Folias was registered through Raymond James & Associates, Inc., April 2011 to April 2018; Howe Barnes Capital Management, Inc., December 2008 to December 2011; Securities America Advisors, Inc., January 2004 to July 2005.
Where is Dean Folias based?
Dean Folias’ registered office is in Chicago, IL.
Is Dean Folias registered with FINRA?
Yes. Dean Folias has a current broker registration, under CRD 3128644.
Source: FINRA BrokerCheck
How can I verify Dean Folias’ record?
Search CRD 3128644 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Dean Folias’ full registration record.
- Sean RooneyChief Financial Officer
- Thomas FonteChair
- Asim MandhaiDirector, Business Head
- Michael MirandaDirector
- Patricia WeitzmanDirector