Our Staff has compiled our research into a database of FINRA Broker Disclosures for Transamerica Financial Advisors, 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 |
|---|---|---|---|---|---|---|---|---|
| David Pham | 2447712 | 4 | 11/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Pedro Sacbibit Magno | 6773565 | 7 | 11/10/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Row Thompson | 5585377 | 3 | 10/31/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Hadi Kusumo | 4719552 | 1 | 10/26/2022 | Customer Dispute | Withdrawn | $12,833.00 | $0.00 | See FINRA Report |
| Bryan D Linder | 4625403 | 3 | 10/19/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Leonard Ziegler | 2492826 | 2 | 10/18/2022 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| Steven Roy Wong | 5888899 | 1 | 09/26/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jay Row Thompson | 5585377 | 3 | 09/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Alan Gaylord | 869950 | 6 | 09/03/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Fernando L Lucero | 7152778 | 2 | 08/02/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |