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 |
|---|---|---|---|---|---|---|---|---|
| Laura Luong | 2669069 | 5 | 07/17/2001 | Customer Dispute | Withdrawn | $67,549.70 | $0.00 | See FINRA Report |
| Lindy Butler Clark | 1924181 | 2 | 07/09/2001 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Anthony Gurrieri | 2974522 | 3 | 05/21/2001 | Customer Dispute | Denied | $7,400.00 | $0.00 | See FINRA Report |
| Mark Allen Winsor | 2124151 | 3 | 05/03/2001 | Customer Dispute | Closed-No Action | $7,250.00 | $0.00 | See FINRA Report |
| Andranik Andy Petrosyan | 2859185 | 1 | 04/23/2001 | Customer Dispute | Withdrawn | $6,100.00 | $0.00 | See FINRA Report |
| Joseph Edward Gimont | 1729076 | 1 | 04/17/2001 | Customer Dispute | Pending | $12,194.10 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 03/01/2001 | Customer Dispute | Pending | $62,000.00 | $0.00 | See FINRA Report |
| Robert Frederick Pearson | 2142858 | 3 | 01/31/2001 | Customer Dispute | Denied | $12,249.90 | $0.00 | See FINRA Report |
| John C Shin | 2575864 | 5 | 11/14/2000 | Customer Dispute | Pending | $16,500.00 | $0.00 | See FINRA Report |
| Laura Luong | 2669069 | 5 | 11/13/2000 | Customer Dispute | Withdrawn | $7,500.00 | $0.00 | See FINRA Report |