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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Daniel Elser | 7528059 | 2 | 05/08/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clarizcel Perez Roxas | 6240411 | 1 | 04/10/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nita Rajendra Dalal | 4878663 | 1 | 05/21/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchell Dean Hester | 6768671 | 1 | 06/05/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Francisco Javier Nunez | 4883248 | 2 | 09/16/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Francisco Javier Nunez | 4883248 | 2 | 02/26/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Ryan Field | 7623032 | 2 | 06/15/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher M Janik | 4902195 | 2 | 03/09/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Craig Alan Nochumson | 2528867 | 1 | 06/11/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Li Xian Lin | 4903135 | 2 | 05/28/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |