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 |
|---|---|---|---|---|---|---|---|---|
| Ramon Limjoco Cunamay | 2592616 | 1 | 12/22/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Willard Lance Scott | 2583080 | 1 | 11/19/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Toon Fuhtrakoon | 6633259 | 2 | 11/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Kent Nicolls | 4036950 | 2 | 10/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Henry C Balanza | 4623951 | 1 | 10/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hanh Tuyet Luu | 2270816 | 1 | 09/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Kent Nicolls | 4036950 | 2 | 09/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Payne | 6291622 | 1 | 08/16/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Maitland Kingsley | 1744429 | 1 | 01/09/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Frenczak | 4581697 | 3 | 03/29/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |