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 |
|---|---|---|---|---|---|---|---|---|
| Brian Michael Taylor | 3170103 | 3 | 10/13/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Diane Bich Chau | 3006111 | 2 | 10/04/2006 | Customer Dispute | Denied | $19,431.20 | $0.00 | See FINRA Report |
| Vuthy Eng Kuoch | 2350729 | 1 | 09/21/2006 | Customer Dispute | Denied | $7,023.00 | $0.00 | See FINRA Report |
| Hehui Zhang | 4333596 | 2 | 09/21/2006 | Customer Dispute | Settled | $11,000.00 | $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 |
| Deron Keith Ferrell | 1187246 | 1 | 09/06/2006 | Customer Dispute | Settled | $27,134.00 | $0.00 | See FINRA Report |
| Guojun Hu | 3155813 | 1 | 08/04/2006 | Customer Dispute | Denied | $5,964.00 | $0.00 | See FINRA Report |
| Todd Ryland Kemp | 3072733 | 1 | 05/16/2006 | Customer Dispute | Denied | $10,676.20 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 05/05/2006 | Customer Dispute | Settled | $5,180.00 | $0.00 | See FINRA Report |
| Susan Yenson Nguyen | 2269545 | 1 | 03/21/2006 | Customer Dispute | Withdrawn | $8,503.40 | $0.00 | See FINRA Report |