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 |
|---|---|---|---|---|---|---|---|---|
| Julie Ann Johnson | 3055188 | 1 | 07/28/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Dean Sorensen | 2207121 | 2 | 06/27/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Sara Blatt Collins | 2921061 | 4 | 05/24/2022 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Harold Kim Jones | 5970289 | 1 | 05/24/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jodi Brown | 6156002 | 1 | 05/19/2022 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Jun Tang | 5308062 | 1 | 09/20/2021 | Customer Dispute | Denied | $9,416.00 | $0.00 | See FINRA Report |
| Liuyan Baker | 5520518 | 1 | 09/20/2021 | Customer Dispute | Denied | $9,416.00 | $0.00 | See FINRA Report |
| Raymond Cecil Mitchell | 1580420 | 1 | 05/13/2021 | Customer Dispute | Denied | $60,206.80 | $0.00 | See FINRA Report |
| Donald Stewart Braun | 3256589 | 1 | 03/23/2021 | Customer Dispute | Settled | $7,507.60 | $0.00 | See FINRA Report |
| Hui Yao Stacy Lu | 4527870 | 1 | 01/19/2021 | Customer Dispute | Denied | $55,077.20 | $0.00 | See FINRA Report |