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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Anthony Reese | 4484246 | 2 | 04/03/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Louis Christian Stradling | 6285168 | 1 | 01/22/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tyrone A Chaplin | 4276472 | 2 | 08/17/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Thomson | 5074723 | 1 | 08/03/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Ernest Barnett | 4956122 | 1 | 04/05/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Victor Hugo Espino | 6095579 | 2 | 01/15/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Yvonne Yifan Chan | 4388349 | 1 | 01/07/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Justin Carras | 5768886 | 1 | 11/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Nguyen Tran | 5994646 | 1 | 05/19/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rong Fu | 5576436 | 1 | 03/22/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |