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 |
|---|---|---|---|---|---|---|---|---|
| Youwei Liu | 6937347 | 2 | 09/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elena de Molina | 5696176 | 10 | 08/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie Efrem Hardley | 2632321 | 3 | 08/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emilio Garcia | 5077462 | 6 | 07/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vicki H Stamps | 4603017 | 2 | 06/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alyssa Holgate | 7083619 | 4 | 06/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emilio Garcia | 5077462 | 6 | 06/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Anthony Wittig | 6445191 | 4 | 06/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Anthony Wittig | 6445191 | 4 | 06/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Anthony Wittig | 6445191 | 4 | 06/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |