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 |
|---|---|---|---|---|---|---|---|---|
| Cera Osborne | 6879593 | 1 | 04/26/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chris Schafersman | 5819618 | 1 | 04/09/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lorenzo Chavez | 6257392 | 3 | 04/09/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Monique Aime Jacques | 3188408 | 4 | 04/04/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Benjamin Sia | 6887569 | 1 | 03/01/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| MacKenzie Elizabeth Kerkhoff | 7062130 | 1 | 12/18/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Jack Gatlos | 6184872 | 1 | 12/03/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Amy Marie Smith-Mann | 6067613 | 2 | 10/18/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Arnulfo Gracia | 4327199 | 1 | 07/18/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kammi Werner | 7733000 | 2 | 06/28/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |