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 |
|---|---|---|---|---|---|---|---|---|
| Theresa Jo Schertz | 6343979 | 1 | 08/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Morgan Rachel Cavender | 6544767 | 1 | 07/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Errol Guerra | 2985779 | 1 | 07/07/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Erin Joyce Wyatt | 7183908 | 1 | 07/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rebeca Delora | 7151084 | 1 | 07/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Roger Kohlts | 2704527 | 1 | 06/13/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carleton F Ellis | 6562250 | 1 | 05/31/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| James Parker Ek | 6483825 | 1 | 05/23/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sandra Teresa Arellano Diaz | 6691774 | 1 | 05/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Greg Florez | 5033941 | 1 | 05/06/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |