CRD #13109 · FINRA BrokerCheck + SEC IAPD

Empower Financial Services, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Empower Financial Services, Inc. ranks #1,180 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #4 of 56 on the same disclosure sort used on the state browse page. Empower Financial Services, Inc. carries 6 BrokerCheck disclosures across 113 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
113
branch offices
6
disclosures
#1,180 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 13109 Empower Financial Services, Inc.

Empower Financial Services, Inc. · Grade B · 6 disc · 0.05/office · Large firm

  • CRD 13109
  • GRADE B
  • DISC 6
  • REG 5
  • ARB 1
  • CIV 0
  • BRANCH 113
  • PER-OFF 0.05
  • RANK #1,180 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Parkland Securities, LLC (0.06 disc/office)

Parkland Securities, LLC0.06Hornor, Townsend & Kent…0.06Northern Trust Securiti…0.06Empower Financial S… (this)0.05
Disclosures per office among large firm peers (lower is cleaner)

Empower Financial Services, Inc. ranks #1,180 of 20,055 by disclosure count among graded broker-dealers; light load at 0.05 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

113 offices

FINRA: Large firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

5 actions

83% of all disclosures

Disclosures per office

0.05 per office

6 ÷ 113 offices

Empower Financial Services, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 92% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 5
Arbitrations 1
Civil Events 0
Total 6

Counts for Empower Financial Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 5 Arbitration 1 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Greenwood Village, CO
CRD Number
13109

Lower disclosures per office

Empower Financial Services, Inc. in the heavier-disclosure third

Empower Financial Services, Inc. carries 6 BrokerCheck disclosures across 113 branch offices - a heavier-third raw book among graded firms (#1,180 of 20,055). Regulator-initiated events are 83% of the book (5 regulatory / 1 arbitration / 0 civil).

Empower Financial Services, Inc. runs 0.05 disclosures per branch office (cleaner than 92% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Empower Financial Services, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Colorado cohort · 3.95× state average

Empower Financial Services, Inc. sits above the Colorado disclosure average

Empower Financial Services, Inc. reports 6 BrokerCheck disclosures, 3.95× the Colorado average of 1.5 across 56 graded firms with a principal-office state on file.

In Colorado, 37 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Colorado state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Empower Financial Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Empower Financial Services, Inc. ranks #1,180 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #4 of 56 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Empower Financial Services, Inc.?
A grade of B reflects Empower Financial Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 6 total disclosures across 113 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Empower Financial Services, Inc. have?
Empower Financial Services, Inc. has 6 total FINRA disclosures, including 5 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Empower Financial Services, Inc.?
Empower Financial Services, Inc. operates 113 branch offices and is classified by FINRA as a large firm, registered in CO (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Empower Financial Services, Inc.'s disciplinary record?
You can verify Empower Financial Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13109. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Empower Financial Services, Inc.'s 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Empower Financial Services, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Empower Financial Services, Inc. carries 6 disclosures across 113 branch offices (about 0.05 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Empower Financial Services, Inc., both outside CO so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Parkland Securities, LLC (MI) - 0.06 disclosures/office, nearest large firm peer to Empower Financial Services, Inc.'s 0.05
  • Hornor, Townsend & Kent, LLC (PA) - 0.06 disclosures/office, nearest large firm peer to Empower Financial Services, Inc.'s 0.05
  • Northern Trust Securities, Inc. (IL) - 0.06 disclosures/office, nearest large firm peer to Empower Financial Services, Inc.'s 0.05
  • Firms in CO - state roster that includes Empower Financial Services, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Empower Financial Services, Inc..
  • Reading BrokerCheck Reports - How Empower Financial Services, Inc.'s 0.05 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Empower Financial Services, Inc..
  • Compare firms - put Empower Financial Services, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.