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 |
|---|---|---|---|---|---|---|---|---|
| David Pham | 2447712 | 4 | 11/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bryan D Linder | 4625403 | 3 | 10/19/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Roy Wong | 5888899 | 1 | 09/26/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jay Row Thompson | 5585377 | 3 | 09/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Fernando L Lucero | 7152778 | 2 | 08/02/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kris Lavar Stevenson | 3035247 | 2 | 07/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kris Lavar Stevenson | 3035247 | 2 | 07/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lawrence W Raleigh | 3165645 | 5 | 07/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Anthony Nash | 5410794 | 7 | 06/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lunar Balanza | 6085205 | 1 | 06/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |