BMO PRIVATE INVESTMENT COUNSEL INC. of TORONTO, ONTARIO is an SEC-registered investment adviser (CRD 160344). Regulatory assets under management: $40.2B.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Charities.
Showing 25 of 36 people.
| Name | Role | Location |
|---|---|---|
| Taylor M Paul | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | Denver, CO |
| Bruce Aaron Ferman | DIRECTOR | — |
| Ian Kenneth Narine | CHIEF FINANCIAL OFFICER | — |
| Nicole Dale Borland | CHIEF COMPLIANCE OFFICER | — |
| Maarten Jansen | DIRECTOR AND CHIEF EXECUTIVE OFFICER | — |
| Andrew James Gilchrist | DIRECTOR | — |
| Joan Zabida Mohammed | DIRECTOR | — |
| Gilles Gerard Ouellette | DIRECTOR | — |
| BENNETT ANTHONY ROSS | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| MASON RICHARD B | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| DOYLE BRIAN ALEXANDER | CHIEF FINANCIAL OFFICER | — |
| LAKE DARCY MALCOLM | CHIEF COMPLIANCE OFFICER | — |
| WHITE KRISTA LYNN | CHIEF FINANCIAL OFFICER | — |
| RUFFOLO SOPHIA BELLA | CHIEF COMPLIANCE OFFICER | — |
| RITCHIE GEOFFREY GRAFTON | CHIEF COMPLIANCE OFFICER | — |
| HALDANE WILLIAM JOHN | CHIEF COMPLIANCE OFFICER | — |
| FERMAN BRUCE AARON | DIRECTOR; PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| MOHAMMED JOAN ZABIDA | DIRECTOR | — |
| NARDI DANIELLE | CHIEF COMPLIANCE OFFICER | — |
| FERNANDES DENISE THERESA | CHIEF COMPLIANCE OFFICER | — |
| OUELLETTE GILLES | DIRECTOR | — |
| Marks Lesley | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| Macdonald Stephen Everett Ades | DIRECTOR AND CHIEF EXECUTIVE OFFICER; HEAD, BMO PRIVATE INVESTMENT COUNSEL INC. AND PRODUCT MANAGEMENT | — |
| Burian Thomas | CFO WEALTH MANAGEMENT AND NORTH AMERICAN PERSONAL AND BUSINESS BANKING | — |
| BURIAN THOMAS CHARLES STEPHAN | CFO WEALTH MANAGEMENT AND NORTH AMERICAN PERSONAL AND BUSINESS BANKING; DIRECTOR; DIRECTOR, CFO WEALTH MANAGEMENT AND NORTH AMERICAN PERSONAL AND BUSINESS BANKING | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-08-08 | regulatory | THE 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 |
| 2022-10-04 | regulatory | BETWEEN 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 |
| 2019-10-18 | regulatory | BETWEEN 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 |
| 2018-09-13 | regulatory | BETWEEN MAY 2015 AND MAY 2016, FINRA ALLEGED THAT NBSL INCORRECTLY CALCULATED ITS NET CAPITAL. | Final | $75K |
| 2015-02-05 | regulatory | IN 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 | — |
| 2012-04-03 | regulatory | FAILURE TO ADOPT ADEQUATE POLICIES AND PROCEDURES TO PREVENT THE SUBMISSION OF ERRONEOUS ORDERS IN TO THE TMX MARKET ON CLOSE FACILITY | Final | $55K |
| — | regulatory | — | — | — |
Showing 15 of 62 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| TORONTO, ONTARIO | — | 12 | 416-359-5001 |
| TORONTO, ONTARIO | — | 12 | 416-359-5001 |
| MONTREAL, QUEBEC | — | 11 | 514-877-1456 |
| MONTREAL, QUEBEC | — | 11 | 514-877-1456 |
| CALGARY, ALBERTA | — | 7 | 403-503-5590 |
| CALGARY, ALBERTA | — | 7 | 403-503-5590 |
| VANCOUVER, BRITISH COLUMBIA | — | 7 | 604-668-1066 |
| VANCOUVER, BRITISH COLUMBIA | — | 7 | 604-668-1066 |
| OTTAWA, ONTARIO | — | 6 | 613-564-6000 |
| OTTAWA, ONTARIO | — | 6 | 613-564-6000 |
| EDMONTON, ALBERTA | — | 5 | 780-408-0531 |
| EDMONTON, ALBERTA | — | 5 | 780-408-0531 |
| MARKHAM ONTARIO | — | 4 | 905-305-1029 |
| MARKHAM ONTARIO | — | 4 | 905-305-1029 |
| WATERLOO, ONTARIO | — | 4 | 519-885-0948 |