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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Shane Jones | 7026004 | 1 | 07/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin L Kashi | 4404557 | 1 | 06/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brooks Louis Sternberg | 4358859 | 3 | 05/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robin Jay Bundy | 1201496 | 6 | 05/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Bradley Tamminga | 4992187 | 1 | 04/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Javier Rojas Galicia | 6001698 | 3 | 04/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Roldan | 3147257 | 1 | 04/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Youwei Liu | 6937347 | 2 | 03/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pedro Sacbibit Magno | 6773565 | 7 | 02/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Qi Dong | 6769793 | 1 | 01/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |