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 |
|---|---|---|---|---|---|---|---|---|
| David Herbert Grant | 3134983 | 5 | 09/30/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Daniel Ray Moses | 5404985 | 2 | 09/06/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha L Clyne-Roland | 5400397 | 2 | 08/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rachel Dawn Cates | 7048914 | 1 | 08/01/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carleton F Ellis | 6562250 | 2 | 07/31/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dorothy Ann Sperry | 4635917 | 1 | 07/19/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Lee Jones | 1158421 | 2 | 07/18/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Richard Biever | 2715333 | 1 | 07/15/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Audrey Claire Barrett | 6251288 | 3 | 06/27/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Iris Deneen McNeal | 7514275 | 1 | 06/24/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |