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 |
|---|---|---|---|---|---|---|---|---|
| Sanford Dure | 5446078 | 3 | 07/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sanford Dure | 5446078 | 3 | 07/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sanford Dure | 5446078 | 3 | 07/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alyssa Holgate | 7083619 | 4 | 07/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Betzaida Vargas Arroyo | 7861367 | 1 | 07/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elena de Molina | 5696176 | 10 | 04/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen James Short | 7162708 | 1 | 03/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Ng | 6344265 | 2 | 02/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emilio Garcia | 5077462 | 6 | 01/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adrian Laertes Goram | 7575962 | 4 | 01/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |