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 |
|---|---|---|---|---|---|---|---|---|
| Zhaohui Connie Chen | 4180444 | 3 | 01/18/2018 | Customer Dispute | Denied | $6,450.75 | $0.00 | See FINRA Report |
| Raul Julian Reyes | 6251796 | 2 | 01/11/2018 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Michael Palmeri | 5262802 | 3 | 10/10/2017 | Customer Dispute | Denied | $65,848.70 | $0.00 | See FINRA Report |
| Lester Baron | 5665479 | 1 | 04/27/2017 | Customer Dispute | Denied | $14,608.00 | $0.00 | See FINRA Report |
| Xuli Zong | 4439738 | 1 | 03/22/2017 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Ha Le Truong | 4066887 | 1 | 02/03/2017 | Customer Dispute | Denied | $8,775.32 | $0.00 | See FINRA Report |
| Kevin James Larsen | 4186414 | 2 | 08/22/2016 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Hanna Liza Horenstein | 4244493 | 1 | 03/23/2016 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Chester E Palid | 5708649 | 1 | 03/09/2016 | Customer Dispute | Denied | $51,261.80 | $0.00 | See FINRA Report |
| Mark William Redman | 1026426 | 2 | 02/16/2016 | Customer Dispute | Denied | $6,068.03 | $0.00 | See FINRA Report |