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 |
|---|---|---|---|---|---|---|---|---|
| Kammi Werner | 7733000 | 2 | 06/28/2011 | 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 |
| Joseph Peter Garcia | 7416564 | 1 | 12/20/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Grace M Jones | 6591657 | 2 | 09/18/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Dragotta | 6699441 | 1 | 08/13/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew James Mulholland | 6527114 | 1 | 06/25/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Brook Herford | 6139448 | 1 | 01/10/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paige Elizabeth Puckett | 7596305 | 1 | 07/03/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wade Michael Engebretson | 6655311 | 1 | 04/18/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Gregory Schauffel | 1732608 | 1 | 02/20/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |