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 |
|---|---|---|---|---|---|---|---|---|
| Jacob Dylan Traylor | 7730186 | 2 | 12/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Patrick Barry | 1979991 | 1 | 12/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Karen Jean Monaghan | 4015407 | 3 | 11/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Newton | 6327579 | 1 | 11/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chad Fredrick Guest | 6898964 | 4 | 11/13/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cheryl Lynn Jones | 1888827 | 12 | 11/03/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joyce Dean | 6592313 | 1 | 11/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Eric Minneman | 6024482 | 1 | 09/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brittney Rose Whatley | 5993976 | 3 | 07/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Rodriguez Rexach | 6053202 | 1 | 07/13/2020 | Customer Dispute | Denied | $54,000.00 | $0.00 | See FINRA Report |