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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Michael Pontello | 6572358 | 1 | 07/12/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Vernon Welch | 4275027 | 1 | 03/10/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Danisha Gonzalez | 7023408 | 1 | 07/29/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Henry Lewis | 6375325 | 1 | 05/15/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cera Osborne | 6879593 | 1 | 04/26/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Sia | 6887569 | 1 | 03/01/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| MacKenzie Elizabeth Kerkhoff | 7062130 | 1 | 12/18/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Jack Gatlos | 6184872 | 1 | 12/03/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gabriel Thomas Rausch | 6132770 | 1 | 05/01/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Vanvonderen | 6368694 | 1 | 11/05/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |