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 |
|---|---|---|---|---|---|---|---|---|
| Dawn Janine Parris | 5244673 | 1 | 05/05/1993 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Leslie Baru | 1722032 | 6 | 09/29/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Andrew Blomquist | 4848452 | 2 | 11/20/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marty Joseph Kozack | 4491269 | 1 | 08/13/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christy Ann Lepine | 6472128 | 1 | 05/01/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Andrew Blomquist | 4848452 | 2 | 03/25/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Henry Millson | 4030236 | 1 | 03/07/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicole D Shonka | 2800467 | 1 | 10/26/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Darell English | 5425707 | 2 | 09/19/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Darell English | 5425707 | 2 | 09/19/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |