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 |
|---|---|---|---|---|---|---|---|---|
| Tao Chin | 4207342 | 1 | 03/17/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Erwin Brent Gant | 2231488 | 1 | 12/21/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Errol Guerra | 2985779 | 1 | 07/07/2015 | Regulatory | 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 |
| Chris Schafersman | 5819618 | 1 | 04/09/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Seth David Sherman | 2327454 | 1 | 12/27/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samirian Demettree Hill | 2795685 | 1 | 11/01/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Clay Dudley Thompson | 2638547 | 1 | 10/22/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Leslie Baru | 1722032 | 6 | 09/29/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Leslie Baru | 1722032 | 6 | 12/08/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |