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 |
|---|---|---|---|---|---|---|---|---|
| Li Xian Lin | 4903135 | 2 | 05/16/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alfonso Sanchez | 4911006 | 1 | 11/12/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher M Janik | 4902195 | 2 | 11/06/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Crystal Kay Trotter | 5144721 | 1 | 11/06/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Paul Jones | 2392980 | 1 | 12/30/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sally Anne Lee | 6090831 | 2 | 12/08/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeremiah Schalk | 6904933 | 1 | 04/13/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Allen Lancaster | 5915773 | 2 | 01/27/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Greggory Rae Paschal | 1565882 | 1 | 09/08/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn D Drake | 5076754 | 2 | 03/06/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |