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Your Money, Your Protection

We have aligned with several institutions to protect your money and the investments entrusted to us.

  • Your money is held and safeguarded by National Bank Independent Network (NBIN): it is the custodian of your money managed by Rothenberg Wealth Management. RWM simply acts as a provider of wealth management services to clients. This means that Rothenberg Wealth Management does not hold or have access to your money.
  • Your account with RWM is opened in your name with NBIN. RWM simply manages your account and effects trades in your account with your authorization.
  • NBIN provides quarterly or monthly statements, produces the required annual tax forms and trading and investment income summaries. The documents are provided to you either by mail or electronically.
  • You may choose to have online access to your accounts and documents at any time through a secure online portal for RWM clients, a service provided through NBIN.

About NBIN

National Bank Independent Network (NBIN) is one of Canada’s leading providers of custodial, trading, clearing, settlement and recording keeping services to independent registered portfolio managers and introducing brokers. It is a qualified custodian that operates under applicable securities laws an provides services to over 400 independent firms from coast to coast. NBIN is a fully owned subsidiary of National Bank of Canada (NBC).

  • Rothenberg Wealth Management is a member of the Canadian Investor Protection Fund (CIPF). By having an account with RWM, you are eligible for automatic CIPF coverage up to $1 million per account category as follows: general accounts, registered accounts, and RESPs.

About CIPF

CIPF’s mandate is to provide protection to customers of Canadian Investment Regulatory Organization (CIRO) Members who have suffered or may suffer financial losses as a result of the insolvency of CIRO Member. It does not protect investors from market fluctuations on individual securities. For more specific details on this coverage, please visit CIPF or request a brochure from one of our offices.

  • Rothenberg Wealth Management is a member of the Canadian Investment Regulatory Organization (CIRO). CIRO actively monitors us for regulatory purposes and ensures we are compliant with all the applicable regulations and laws.

About CIRO

The Canadian Investment Regulatory Organization (CIRO) is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.


Additional Safeguards to Protect Your Money

Autorité des Marchés Financiers

Quebec has an additional regulatory body called the Autorité des Marchés Financiers (AMF) of which we are members. This body regulates Quebec’s financial markets and services, including those provided by RWM.

Richter

In addition to being regularly audited by CIRO, independent accounting firm Richter conducts annual audits of RWM.

Business Continuity Plan

Rothenberg Wealth Management (RWM) recognizes that our clients rely on our systems and services, and we protect the investments entrusted to us in several ways. RWM has developed a Business Continuity Plan (BCP) that will allow key operations to be re-established should a significant business disruption occur at our offices. The Business Continuity Plan (BCP) is based on a worst-case scenario, thus eliminating the postulation of lesser case disruptions.

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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