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 |
|---|---|---|---|---|---|---|---|---|
| Tonya Marie Robinson | 3215855 | 1 | 12/27/2013 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Dean Larson | 1787554 | 1 | 07/30/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ana Cecilia Fields | 5636216 | 1 | 05/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Lee Stephens | 5033006 | 1 | 04/02/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Vernon Welch | 4275027 | 1 | 03/10/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lorenzo Chavez | 6257392 | 3 | 12/18/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Danisha Gonzalez | 7023408 | 1 | 07/29/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel David Smith | 5704489 | 1 | 07/05/2012 | Customer Dispute | Denied | $9,701.00 | $0.00 | See FINRA Report |
| Clifford Paul Beck | 3011406 | 1 | 06/22/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stuart Mullendore McDowell | 1844587 | 1 | 05/22/2012 | Customer Dispute | Denied | $56,800.00 | $0.00 | See FINRA Report |