Financial advisor
Hank Rottenberg
Now at RBC Wealth Management · Rottenberg Wealth Management Group · Florham Park, NJ
Registered as HERBERT ROTTENBERG
Transactions 1
Every recorded transaction this advisor took part in, newest first.
| Transaction | From | To | Pattern | Announced | Reported Assets |
|---|---|---|---|---|---|
| Rottenberg Wealth Management Group | UBS | RBC Wealth Management | Lateral | January 26, 2026 | $400M |
Registration history
Firm registrations on FINRA BrokerCheck and SEC IAPD, newest first.
| Firm | Channel | From | To |
|---|---|---|---|
| RBC CAPITAL MARKETS, LLC | Investment adviser | January 15, 2026 | Current |
| RBC CAPITAL MARKETS, LLC | Broker-dealer | January 15, 2026 | Current |
| UBS FINANCIAL SERVICES INC. | Investment adviser | January 18, 2008 | January 27, 2026 |
| UBS FINANCIAL SERVICES INC. | Broker-dealer | January 18, 2008 | January 27, 2026 |
| CITIGROUP GLOBAL MARKETS INC. | Investment adviser | May 8, 2002 | January 29, 2008 |
| CITIGROUP GLOBAL MARKETS INC. | Broker-dealer | July 31, 1993 | January 29, 2008 |
| LEHMAN BROTHERS INC. | Broker-dealer | May 22, 1984 | July 31, 1993 |
Published record as of October 31, 2026. Registration dates are FINRA BrokerCheck and SEC IAPD registrations at the destination, not proof that client assets transferred. See the methodology.