Frequently Asked Questions

We offer the following services:
Retirement Planning
Estate Planning
Investment Planning
Portfolio Management

Through Rothenberg Wealth Management (RWM), we can offer:
Stocks
Bonds
GIC’s
Mutual Funds
Self-Directed RRSP’s & LIRA’s
Self Directed RRIF’s & RESP’s
Self Directed LIF’s, TFSA’s & RDSP’s
Individual Pension Plan (IPP)
Exchange Traded Funds (ETFs)
Flow Through Shares

RWM is a member of the Canadian Investor Protection Fund (CIPF) and of the Canadian Investment Regulatory Organization (CIRO) 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 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 **

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

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.

Rothenberg Wealth Management (RWM) is our wealth management division which offers stocks, bonds, and mutual funds. 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 25 banks and trust companies across Canada and can provide extremely competitive GIC rates without cost to you. The banks and trusts are protected by the Canada Deposit Insurance Corporation (CDIC). 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 **

You can access your accounts online and view the account value, individual holdings, and transactions as of the previous business days close. 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.

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.

Rothenberg Wealth Management is a member of the Canadian Investment Regulatory Organization (CIRO) and covered under the regulators insurer known as 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.

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.

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