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 |
|---|---|---|---|---|---|---|---|---|
| Theresa Jo Schertz | 6343979 | 3 | 05/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Anthony Lodato | 6365522 | 1 | 05/27/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kim-Marie Black | 5263183 | 2 | 05/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lorenzo Chavez | 6257392 | 4 | 05/07/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robyn S Hawkins | 5921346 | 2 | 04/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joan Lynn Stoddard | 5921997 | 1 | 04/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Lee Jones | 1158421 | 2 | 04/17/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Herbert Grant | 3134983 | 5 | 04/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Herbert Grant | 3134983 | 5 | 04/14/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Michael Lown | 6335360 | 1 | 03/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |