Switch to ADA Accessible Theme
Close Menu
Free Consultation: 888-976-6111

Report: Rockefeller Capital Management Fires Advisor Brent Hablutzel

According to a recent report by AdvisorHub, Rockefeller Capital Management has terminated representative Brent Hablutzel (CRD# 4749339), reportedly a “high-producing broker” in its Greenwood Village office. Mr. Hablutzel “produced around $8 million in annual revenue” during his tenure at the firm, where he had been registered as a broker and an investment adviser since February 2022, per his Financial Industry Regulatory Authority-maintained BrokerCheck reportThe reasons behind Mr. Hablutzel’s termination remain hazy, AdvisorHub reports, noting that two unnamed sources “said that the firm took action after a concern related to his management of client accounts was brought to managers’ attention.” The underlying issue, however, may related to his conduct at Merrill Lynch, his former member firm. He was registered with Merrill’s Greenwood Village office from 2004 until earlier this year.

A spokesperson for Rockefeller Capital Management told AdvisorHub the firm’s actions in firing Mr. Hablutzel “are consistent with our unwavering commitment to protecting investors and safeguarding market integrity.” 

Mr. Hablutzel’s BrokerCheck report discloses one investor complaint against him. Filed in 2015, it alleged that as a representative of Merrill Lynch, he made misrepresentations “regarding the rollover of a retirement plan.” The complaint alleged unspecified damages and was denied by the firm.

According to the Financial Industry Regulatory Authority, Brent Hablutzel holds 18 years of securities industry experience. Most recently based in Greenwood Village, Colorado, his registration history includes Rockefeller Capital Management (2022) and Merrill Lynch (2004-2022). His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Uniform Combined State Law Examination, or Series 66; and the Securities Industry Essentials Examination, or SIE. (Information current as of July 8, 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.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Paul Meyer: Did RBC Advisor Make Unauthorized Trades?

    Paul Meyer (CRD# 3062534), an advisor based in Minnetonka, recently received investor complaints alleging he engaged in misconduct that resulted...

    Read More
  • Rene Castro: Did Upland Advisor Sell Unsuitable GWG L Bonds?

    A recent investor complaint against Upland, California financial advisor Rene Castro (CRD# 2559410) alleged that he recommended unsuitable GWG L...

    Read More
  • Edward Yoon: Investors Complain About Ex-First Allied Advisor

    Recent investor complaints against Pasadena financial advisor Edward Yoon (CRD# 2408137) allege that he recommended unsuitable investments. Financial Industry Regulatory...

    Read More
  • Private Placement Complaint Against Bill Braun, Boca Raton Advisor

    Bill Braun (CRD# 1271500), a financial advisor with B. Riley Wealth Management, has received multiple investor complaints alleging he recommended...

    Read More
  • Previous
  • Next