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 |
|---|---|---|---|---|---|---|---|---|
| Rodney Lee Morgan | 4442487 | 1 | 02/05/2008 | Customer Dispute | Closed-No Action | $15,297.00 | $0.00 | See FINRA Report |
| Hyun Sun Shin | 4731310 | 1 | 09/18/2007 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Brian Michael Taylor | 3170103 | 3 | 10/17/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Taylor | 3170103 | 3 | 10/13/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 09/13/2006 | Customer Dispute | Closed-No Action | $11,280.00 | $0.00 | See FINRA Report |
| Victor Torres Salvador | 2772375 | 2 | 04/15/2003 | Customer Dispute | Closed-No Action | $9,367.90 | $0.00 | See FINRA Report |
| John Quang Pham | 2372633 | 3 | 10/08/2001 | Customer Dispute | Closed-No Action | $135,972.00 | $0.00 | See FINRA Report |
| Mark Allen Winsor | 2124151 | 3 | 05/03/2001 | Customer Dispute | Closed-No Action | $7,250.00 | $0.00 | See FINRA Report |
| Nancy T Wu | 2820974 | 1 | 08/22/2000 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Selwyn Alec Farrell | 2445878 | 1 | 05/19/2000 | Customer Dispute | Closed-No Action | $9,143.09 | $0.00 | See FINRA Report |