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 |
|---|---|---|---|---|---|---|---|---|
| Robert B Forney | 5102537 | 6 | 08/02/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Willie Caldwell | 2097325 | 15 | 04/13/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Oralia Navar-Perales | 3193390 | 3 | 06/10/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Willie Caldwell | 2097325 | 15 | 09/03/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dennis Charles Koenning | 1599307 | 3 | 12/17/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shawn Paris Patrick | 1419385 | 3 | 07/05/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sylvester Brown | 860475 | 1 | 07/01/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |