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 |
|---|---|---|---|---|---|---|---|---|
| Lam Thanh Giang | 6282550 | 1 | 12/30/2019 | Customer Dispute | Denied | $9,705.00 | $0.00 | See FINRA Report |
| Racquel Roxann Ramlal-Slawinski | 3165650 | 2 | 05/31/2019 | Customer Dispute | Denied | $6,580.66 | $0.00 | See FINRA Report |
| Edward Thomas Smelich | 2561139 | 1 | 05/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Enrique Daniel Yuan Huang | 6576877 | 1 | 01/24/2019 | Customer Dispute | Denied | $57,482.50 | $0.00 | See FINRA Report |
| Brian Neil Schiavo | 6650063 | 3 | 09/11/2018 | Customer Dispute | Denied | $7,780.62 | $0.00 | See FINRA Report |
| Fidel Anthony Castro | 6066573 | 5 | 09/11/2018 | Customer Dispute | Denied | $7,380.24 | $0.00 | See FINRA Report |
| Victorino Lim Gabor | 5836503 | 1 | 08/20/2018 | Customer Dispute | Denied | $22,435.50 | $0.00 | See FINRA Report |
| Sidney Craig Sheridan | 2089034 | 4 | 07/23/2018 | Customer Dispute | Denied | $127,130.00 | $0.00 | See FINRA Report |
| Michael Clement Lyle | 2418644 | 5 | 06/14/2018 | Customer Dispute | Denied | $73,594.60 | $0.00 | See FINRA Report |
| Zhaohui Connie Chen | 4180444 | 3 | 01/18/2018 | Customer Dispute | Denied | $6,727.00 | $0.00 | See FINRA Report |