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 |
|---|---|---|---|---|---|---|---|---|
| Lucy Rojo | 7686565 | 1 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alyssa Holgate | 7083619 | 4 | 01/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tan Huy Nguyen | 2569234 | 3 | 12/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramiro A Gomez | 6476578 | 7 | 11/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Hansen | 6824689 | 1 | 11/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa K Bodden | 6043803 | 1 | 10/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Irma Ivonne Sandoval | 5974571 | 1 | 10/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Valerie Denise Green | 4263398 | 1 | 10/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Ng | 6344265 | 2 | 08/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hong Jie Yang | 4826556 | 1 | 07/25/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |