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 |
|---|---|---|---|---|---|---|---|---|
| Raul Mier | 6943179 | 1 | 03/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Caleb Millsap | 7496315 | 2 | 02/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott David Graves | 4408090 | 1 | 01/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Danielle Corigliano Maxwell | 5406184 | 1 | 01/30/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sim E Flynn | 6588161 | 1 | 01/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samantha L Clyne-Roland | 5400397 | 1 | 01/04/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rosalinda Mees | 4834142 | 1 | 12/24/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Denise Michelle McGonigle-Stanley | 6698705 | 5 | 12/22/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Austin Allen | 7789790 | 1 | 12/21/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christina Ann Lipari | 4763673 | 1 | 12/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |