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 |
|---|---|---|---|---|---|---|---|---|
| Tana Hausch | 7329090 | 3 | 03/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emilio Garcia | 5077462 | 6 | 03/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tana Hausch | 7329090 | 3 | 03/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angel Aragon | 5663829 | 1 | 02/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gene Coppa | 5975624 | 6 | 02/18/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Ryan Field | 7623032 | 2 | 02/09/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Nathan Garcia | 7559726 | 2 | 01/25/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rudy Lasry | 4530893 | 6 | 01/21/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank James Schoen | 3024903 | 17 | 01/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miaomiao Chen | 7206511 | 1 | 12/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |