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Frequently Asked Questions

This Frequently Asked Questions (FAQ) page will help you get answers to key questions you may have about Rothenberg Wealth Management.

We also invite you to contact us with your inquiries. You can submit the contact form on our website by clicking here or send an email to inforequest@rothenberg.ca.

FAQ

Where are you located?

We have 5 offices conveniently located and can serve Canadians nationwide at these locations.

Westmount Head Office
4420 Saint-Catherine Street West
Westmount, Quebec H3Z 1R2
T: 514.934.0586
T: 1.800.811.0527
South Shore, Montreal
Dix30 Complex – National Bank Building
9160 Boulevard Leduc, Suite #410
Brossard, Quebec J4Y 0E3
T: 450.321-0001
T: 1.800.811.0527
West Island, Montreal
6500 Trans-Canada Highway, Suite #140
Pointe-Claire, Quebec H9R 0A5
T: 514.697.0035
T: 1.800.811.0527
Calgary, Alberta
1333 8th SW, Suite #302
Calgary, Alberta T2R 1M6
T: 403.228.2378
T: 1.800.456.0949
What are the services and products that you offer?

We offer the following services:

  • Retirement Planning
  • Tax Planning
  • Estate & Legacy Planning
  • Investment Planning
  • Portfolio Management

Through Rothenberg Wealth Management (RWM), we can offer:

  • Stocks
  • Bonds
  • GICs
  • Mutual Funds
  • Self-Directed TFSAs, RRSPs & LIRAs
  • Self Directed RRIF’s & LIFs
  • Self Direct RESPs & RDSPs
  • Individual Pension Plan (IPP)
  • Other investments including, Exchange Traded Funds (ETFs) and Flow Through Shares

Rothenberg Wealth Management is a member of the Canadian Investor Protection Fund (CIPF) and of the Canadian Investment Regulatory Organization (CIRO). RWM is registered with l’Autorité des marchés financiers (AMF) in Quebec.

Through Rothenberg & Rothenberg, we can offer:

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

***CIPF coverage does not apply to the Rothenberg & Rothenberg division***

Who are your clients?

We primarily work with individuals and households that have in excess of $500,000 of investable assets looking for value added expertise, service, and investment advice.

What are your fees?

We offer a cost-based account solution to new clients. As of March 31, 2022, we have discontinued transactional accounts under the traditional commission model. This decision comes after carefully reviewing the needs of our clients and changes to the regulatory environment. This does not affect existing clients.

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

Rothenberg Wealth Management (RWM) is our wealth management division which offers stocks, bonds, mutual funds and more. Our Wealth Management Advisors provide unbiased, transparent, and holistic planning solutions to help you achieve your financial objectives.

Rothenberg & Rothenberg is our Guaranteed Investment Certificate (GIC) and Insurance brokerage division. The Company represents over 25 banks and trust companies across Canada and can provide competitive GIC rates without cost to you. The banks and trusts are protected by the Canada Deposit Insurance Corporation (CDIC) and/or provincial coverage. Our insurance division represents a multitude of insurance companies and can provide the most competitive quotes for protection suited to your specific requirements.

***CIPF coverage does not apply to the Rothenberg & Rothenberg division***

Can I access my account online?

You can access your accounts online and view the account value, individual holdings, and transactions as of the previous business day. You have the option of getting your statements, confirmations, and tax slips in hard copy or electronically. Realized Gain and Loss Reports and Foreign Asset Reports are available as well.

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

How do you keep clients up to date?

A statement of your RWM account holdings and activity is sent out monthly, or quarterly in the event the account has had no buys or sells. Trade confirmations are also sent the next business day after a trade has taken place.

Clients often choose to have online access to view their accounts and receive their statements, confirmations, and tax slips electronically. This allows them to view account values, individual holdings, transactions and performance. The ability to trade online is not one of the services provided by our firm because we encourage dialogue with our advisors.

Your Money, your Protection

Rothenberg Wealth Management is a member of the Canadian Investment Regulatory Organization (CIRO) and covered under the Canadian Investor Protection Fund (CIPF). Each client account is covered up to $1 million. Our custodian and back office administrator, National Bank Independent Network (NBIN Inc.) is also covered by the same insurer.

This insurance covers our clients in the event of 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.ca or by requesting a detailed brochure from one of our offices.

Who is National Bank Independent Network (NBIN)?

The details relating to running a wealth management 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 firms. Most firms across the country outsource the administration of the tasks noted above to another firm. NBIN does this work for more than 400 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 $160 Billion in assets under administration, 21,600 employees and its shares are listed on the Toronto Stock Exchange.

Contact Us

Let us know how we can assist you.

Our Offices

Westmount Head Office
Montreal – West Island
Montreal – South Shore
Calgary

Westmount Head Office

Address
4420 St. Catherine Street W
Westmount, Quebec H3Z 1R2 Canada
Telephone
514-934-0586
Telephone
1-800-811-0527

Montreal – West Island

Address
6500 Trans Canada, Suite #140
Pointe-Claire, Quebec H9R 0A5 Canada
Telephone
514-697-0035
Telephone
1-800-811-0527

Montreal – South Shore

Address
Centre Complexe Dix30
1040 Rue du Lux, Suite 410
Brossard, Quebec J4Y 0E3 Canada
Telephone
450-321-0001
Telephone
1-800-811-0527

Calgary

Address
1333 8th Street SW, Suite 302
Calgary, Alberta T2R 1M6 Canada
Telephone
403-228-2378
Telephone
1-800-456-0949
Founded in 1986, Rothenberg Wealth Management is a leading investment firm and trusted wealth management partner for families, individuals, their affiliated business and condominium corporations.
© 2024 Rothenberg Wealth Management Inc. All Rights Reserved.
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