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 |
|---|---|---|---|---|---|---|---|---|
| Liming Li | 4297819 | 1 | 02/22/2006 | Customer Dispute | Denied | $5,399.20 | $0.00 | See FINRA Report |
| Sidney Craig Sheridan | 2089034 | 4 | 01/31/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 11/07/2005 | Customer Dispute | Withdrawn | $6,900.00 | $0.00 | See FINRA Report |
| Timothy A Francis | 2381858 | 6 | 10/31/2005 | Customer Dispute | Denied | $20,578.30 | $0.00 | See FINRA Report |
| Michael Clement Lyle | 2418644 | 5 | 09/12/2005 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Carl David Kennedy | 1162865 | 4 | 08/15/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carl David Kennedy | 1162865 | 4 | 08/15/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carl David Kennedy | 1162865 | 4 | 08/15/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marc David Guerra | 1230885 | 3 | 08/15/2005 | Customer Dispute | Denied | $5,472.00 | $0.00 | See FINRA Report |
| Tan Huy Nguyen | 2569234 | 3 | 08/15/2005 | Customer Dispute | Denied | $64,562.70 | $0.00 | See FINRA Report |