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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Luu | 7280796 | 1 | 12/31/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas James Bruce | 7169588 | 1 | 09/20/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jacob Saperstein | 7336172 | 1 | 05/09/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathan Daniel Elser | 7528059 | 2 | 06/05/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Margaret Nora Hand | 4628311 | 1 | 03/09/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles David Kreider | 1065388 | 2 | 02/20/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jessica Michelle Dean | 7532293 | 1 | 10/13/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Diane Bich Chau | 3006111 | 2 | 04/07/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randolph Smarr Miller | 6140094 | 1 | 12/10/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gohar Asatryan | 6641540 | 1 | 01/12/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |