San Diego financial advisor Brady Fuchs (CRD# 3203016) has received an investor complaint alleging that his conduct resulted in five-figure...Read More
Brent Hablutzel: Why Did Rockefeller Financial Fire Colorado Advisor?
Rockefeller Financial recently fired Greenwood Village, Colorado financial advisor Brent Hablutzel (CRD# 4749339) in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that he is currently an investment advisor with Western Wealth Management in Greenwood Village.
According to a disclosure on Mr. Hablutzel’s BrokerCheck report, Rockefeller Financial terminated his registration with the firm in July 2022. The firm fired him in relation to allegation she engaged in discretionary trading without proper authorization; that he displayed a “lack of candor” during an internal review; and that he lost management’s confidence as a result.
Mr. Hablutzel’s BrokerCheck report also discloses one investor complaint. Filed in 2015, the complaint alleged that as a representative of Merrill Lynch, he misrepresented material information regarding a retirement plan rollover. The complaint alleged unspecified damages and was denied by the firm.
According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Brent Hablutzel holds 18 years of securities industry experience. Based in Greenwood Village, Colorado, he has been an investment advisor with Western Wealth Management since August 2022. He is not presently registered as a broker. His past registrations include Rockefeller Financial (2022) and Merrill Lynch (2004-2022) in Greenwood Village, Colorado. His credentials include the passage of three securities industry qualifying examinations: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed as an investment advisor in Texas. (Information current as of August 24, 2022.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.