Frequently asked questions.

Should you find your questions unanswered, please give us a call and we will be more than happy to assist you.

Where are you located?

Our company has 4 locations. Three of the four offices are in Quebec with one in Alberta.
The firm is licensed to do business with clients from B.C. to Nova Scotia.

What are the services and products that you offer?

We offer the following services:

  • Retirement Planning
  • Estate Planning
  • Investment Planning

Through Rothenberg Capital Management (RCM), we can offer:

  • Stocks
  • Bonds
  • GIC’s
  • Mutual Funds
  • Self-Directed RRSP’s & LIRA’s
  • Self Directed RRIF’s & RESP’s
RCM is a member of the Canadian Investor Protection Fund (CIPF) and of the Investment Industry Regulatory Organization of Canada (IIROC) as well as l'Autorité des marchés financiers.

Through Rothenberg & Rothenberg, we can offer:

  • Life and Disability Insurance
  • Critical Illness Insurance
  • Long-Term Care Insurance
  • Group Benefit Packages
  • Term Deposits & GIC’s
  • Life and Term Certain Annuities

Why do you have two companies, Rothenberg & Rothenberg and Rothenberg Capital Management?

Rothenberg & Rothenberg is our insurance and GIC brokerage division. The company represents over 40 different insurance companies which can provide the most competitive quotes. As well, the company represents almost every bank and trust company in Canada and can provide extremely competitive term deposit rates without cost to the client.

Rothenberg Capital Management is the investment division which offers mutual funds, stocks, bonds, flow-through shares. Rothenberg Capital Management is a registered member of the Investment Industry Regulatory Organization of Canada (IIROC) of the Canadian Investor Protection Fund (CIPF) as well as l'Autorité des marchés financiers.

Who are your clients?

We primarily deal with individuals who are looking for value added expertise, service, and product solutions. We do have corporate clients as well but they represent a smaller percentage of our client base.

Do you have a minimum account size?

No. At Rothenberg Capital Management, we know that clients with smaller sums become larger clients over time and that some of our largest accounts were referred from some of our smallest accounts.

What are the qualifications of your advisors?

In order for our advisors to be licensed, they must successfully complete the Canadian Securities Course and the Professional Financial Planning Course of the new Wealth Management Techniques Course.

Most of our advisors have university degrees in business or economics and several have the coveted Chartered Financial Analyst designation or Certified Financial Planner designation.

Can I access my account online?

Through our website, www.rothenberg.ca, you can get a multitude of financial information along with details about product offerings and happenings within our firm. You can also access your accounts online and view the account value, individual holdings, and transactions as of the previous business days close.

The ability to trade online is not one of the services provided at our firm.

How often do you send out statements?

A consolidated statement is sent out monthly. The only time a statement is not sent out monthly is if the account is inactive with no transactions or dividend or interest payments to the account. In this case, the statement is sent out quarterly.

What happens to my money in the event of insolvency?

Rothenberg Capital Management is a member of the Investment Industry Regulation Organization of Canada (IIROC) and covered under the regulators insurer known as the Canadian Investor Protection Fund (CIPF). Each client account is covered up to $1 million. The firm we use for our back office administration, National Bank Correspondent Network is also covered by the same insurer.

This insurance covers our clients in the event of theft from one of our employees or insolvency. It does not protect investors from market fluctuations on individual securities. For more specific details to this coverage, detailed information can be found at CIPF or by requesting a detailed brochure from one of our offices.

Who is National Bank Independent Network (NBIN)?

The details relating to running an investment brokerage firm are quite complex. Details relating to sending out client statements, confirmations, tax reporting, dividend and interest payments, reorganizations, and stock splits all need to be reported accurately and in a timely fashion. The cost can be prohibitively high for smaller brokerage firms. Most firms across the country outsource the administration of the tasks noted above to another firm. NBIN does this work for more than 70 investment firms across the country. NBIN is a fully owned subsidiary of National Bank of Canada. National Bank is the 6th largest bank in Canada. It has branches in almost every province in Canada as well as numerous representative offices in the United States, Europe and other parts of the world. It currently has $123 Billion in assets, 17,000 employees and its shares are listed on the Toronto Stock Exchange.