BMO PRIVATE INVESTMENT COUNSEL INC.

BMO PRIVATE INVESTMENT COUNSEL INC. of TORONTO, ONTARIO is an SEC-registered investment adviser (CRD 160344). Regulatory assets under management: $40.2B.

Registration

Business model

Compensation: % of AUM, Fixed.

Clients served: Individuals, High net worth, Charities.

Officers, owners & control persons (36)

Showing 25 of 36 people.

NameRoleLocation
Taylor M PaulSENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICERDenver, CO
Bruce Aaron FermanDIRECTOR—
Ian Kenneth NarineCHIEF FINANCIAL OFFICER—
Nicole Dale BorlandCHIEF COMPLIANCE OFFICER—
Maarten JansenDIRECTOR AND CHIEF EXECUTIVE OFFICER—
Andrew James GilchristDIRECTOR—
Joan Zabida MohammedDIRECTOR—
Gilles Gerard OuelletteDIRECTOR—
BENNETT ANTHONY ROSSPRESIDENT AND CHIEF EXECUTIVE OFFICER—
MASON RICHARD BPRESIDENT AND CHIEF EXECUTIVE OFFICER—
DOYLE BRIAN ALEXANDERCHIEF FINANCIAL OFFICER—
LAKE DARCY MALCOLMCHIEF COMPLIANCE OFFICER—
WHITE KRISTA LYNNCHIEF FINANCIAL OFFICER—
RUFFOLO SOPHIA BELLACHIEF COMPLIANCE OFFICER—
RITCHIE GEOFFREY GRAFTONCHIEF COMPLIANCE OFFICER—
HALDANE WILLIAM JOHNCHIEF COMPLIANCE OFFICER—
FERMAN BRUCE AARONDIRECTOR; PRESIDENT AND CHIEF EXECUTIVE OFFICER—
MOHAMMED JOAN ZABIDADIRECTOR—
NARDI DANIELLECHIEF COMPLIANCE OFFICER—
FERNANDES DENISE THERESACHIEF COMPLIANCE OFFICER—
OUELLETTE GILLESDIRECTOR—
Marks LesleyPRESIDENT AND CHIEF EXECUTIVE OFFICER—
Macdonald Stephen Everett AdesDIRECTOR AND CHIEF EXECUTIVE OFFICER; HEAD, BMO PRIVATE INVESTMENT COUNSEL INC. AND PRODUCT MANAGEMENT—
Burian ThomasCFO WEALTH MANAGEMENT AND NORTH AMERICAN PERSONAL AND BUSINESS BANKING—
BURIAN THOMAS CHARLES STEPHANCFO WEALTH MANAGEMENT AND NORTH AMERICAN PERSONAL AND BUSINESS BANKING; DIRECTOR; DIRECTOR, CFO WEALTH MANAGEMENT AND NORTH AMERICAN PERSONAL AND BUSINESS BANKING—

Disclosures (25)

InitiatedTypeAllegationsStatusAmount
2023-08-08regulatoryTHE U.S. COMMODITY FUTURE TRADING COMMISSION ("CFTC") ALLEGED THAT, FROM AT LEAST 2019 THROUGH THE DATE OF THE ORDER, BANK OF MONTREAL ("BMO") (I) FAILED TO KEEP CERTAIN REQUIRED RECORDS IN VIOLATION OF SECTIONS 4S(F)(1)(C) AND 4S(G)(1) AND (3) OF THE COMMODITY EXCHANGE ACT ("CEA") AND CFTC REGULATI…Final$35.0M
2022-10-04regulatoryBETWEEN JANUARY 2011 AND MARCH 31, 2017, BMO NBI FAILED TO ADEQUATELY SUPERVISE THE ACTIVITIES OF AN RR IN RELATION TO THE ACCOUNTS BOTH ON THE TIER 1 AND TIER 2 COMPLIANCE LEVELS CONTRARY TO DEALER MEMBER RULES 38.1 AND 2500.Final$125K
2019-10-18regulatoryBETWEEN SEPTEMBER 2014 AND MARCH 2016, IIROC ALLEGES THAT NB PERMITTED A REGISTERED REPRESENTATIVE TO USE AN ORDER EXECUTION PROCEDURE CONTRARY TO UNIVERSAL MARKET INTEGRITY RULE 6.3.Final$55K
2018-09-13regulatoryBETWEEN MAY 2015 AND MAY 2016, FINRA ALLEGED THAT NBSL INCORRECTLY CALCULATED ITS NET CAPITAL.Final$75K
2015-02-05regulatoryIN ITS STATEMENT OF ALLEGATIONS, OSC STAFF ALLEGED TO THE OSC COMMISSION THAT THERE WERE INADEQUACIES IN THE BMO REGISTRANTS' SYSTEMS OF CONTROLS AND SUPERVISION WHICH FORMED PART OF THEIR COMPLIANCE SYSTEMS WHICH RESULTED IN CERTAIN CLIENTS OF THE BMO REGISTRANTS PAYING, DIRECTLY OR INDIRECTLY, EXC…Final—
2012-04-03regulatoryFAILURE TO ADOPT ADEQUATE POLICIES AND PROCEDURES TO PREVENT THE SUBMISSION OF ERRONEOUS ORDERS IN TO THE TMX MARKET ON CLOSE FACILITYFinal$55K
—regulatory———

Branch offices (62)

Showing 15 of 62 offices.

CityStateEmployeesPhone
TORONTO, ONTARIO—12416-359-5001
TORONTO, ONTARIO—12416-359-5001
MONTREAL, QUEBEC—11514-877-1456
MONTREAL, QUEBEC—11514-877-1456
CALGARY, ALBERTA—7403-503-5590
CALGARY, ALBERTA—7403-503-5590
VANCOUVER, BRITISH COLUMBIA—7604-668-1066
VANCOUVER, BRITISH COLUMBIA—7604-668-1066
OTTAWA, ONTARIO—6613-564-6000
OTTAWA, ONTARIO—6613-564-6000
EDMONTON, ALBERTA—5780-408-0531
EDMONTON, ALBERTA—5780-408-0531
MARKHAM ONTARIO—4905-305-1029
MARKHAM ONTARIO—4905-305-1029
WATERLOO, ONTARIO—4519-885-0948

More on this firm