Our Staff has compiled our research into a database of FINRA Broker Disclosures for Empower Financial Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Brady Hertel | 7008943 | 1 | 02/11/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Katerina Carlie Soto | 7064392 | 1 | 10/20/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan Eduardo Heinze | 6821417 | 1 | 09/12/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ross Balthazor | 7148654 | 1 | 03/06/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Drew Colton Coffman | 6380280 | 1 | 11/05/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Richard Buell | 4764299 | 2 | 08/11/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Lewis Kranowitz | 2927897 | 1 | 10/07/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Parker Ek | 6483825 | 1 | 05/23/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffery Karl Baker | 7490579 | 1 | 05/15/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wanda L Sosa | 7071812 | 3 | 08/11/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |