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BMO NESBITT BURNS SECURITIES LTD.

TORONTO, ONTARIO, Canada · CRD 281337 · IAPD ↗ · uswealth.bmo.com · 416-624-5509

$1.20BRegulatory AUM
216Advisory reps
303Employees
0Clients
11-25Planning clients
0Private funds
35States
14Disclosures
foreignSegment
ApprovedSEC status

Filing changes

25
October 2026 — BMO NESBITT BURNS SECURITIES LTD.'s Item 11 disclosure-reporting entries rose by 2 (12 -> 14).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
19
February 2026 — BMO NESBITT BURNS SECURITIES LTD. notice-filed in MD, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
February 2026 — BMO NESBITT BURNS SECURITIES LTD. crossed $1B in regulatory AUM ($932.0M -> $1.20B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
55
February 2026 — BMO NESBITT BURNS SECURITIES LTD. grew from 199 to 216 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
15
August 2025 — BMO NESBITT BURNS SECURITIES LTD. notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
19
February 2025 — BMO NESBITT BURNS SECURITIES LTD. notice-filed in IN, MT, NH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
36
February 2025 — BMO NESBITT BURNS SECURITIES LTD. reported RAUM up 41% ($660.9M -> $932.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
53
February 2025 — BMO NESBITT BURNS SECURITIES LTD. grew from 181 to 199 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
23
May 2024 — BMO NESBITT BURNS SECURITIES LTD.'s Item 11 disclosure-reporting entries rose by 2 (10 -> 12).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
19
February 2024 — BMO NESBITT BURNS SECURITIES LTD. notice-filed in DE, HI, TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
23
February 2024 — BMO NESBITT BURNS SECURITIES LTD. added office(s): 46 -> 52 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
31
February 2024 — BMO NESBITT BURNS SECURITIES LTD. reports 11-25 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.