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 | 5 | 11/13/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bryan D Linder | 4625403 | 3 | 10/24/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barry Charles King | 3128658 | 9 | 10/23/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Victor Nelson Lee | 1157658 | 2 | 09/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Taylor | 5483564 | 1 | 09/14/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Willie Caldwell | 2097325 | 15 | 09/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natalie Monique Plant | 4795703 | 6 | 08/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sabrina G Sasson | 4733768 | 1 | 08/08/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Teresita D Velasquez | 2859723 | 1 | 08/07/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Morgana L Jones | 6992074 | 2 | 06/13/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |