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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Yeung | 5185769 | 1 | 09/20/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis P Tom | 1368134 | 5 | 08/22/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Beverly Fecundo | 4579083 | 2 | 08/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alyssa Holgate | 7083619 | 4 | 07/01/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roderick Abad Magsino | 2905669 | 1 | 06/22/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert B Forney | 5102537 | 6 | 05/23/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Teresita D Dunuan | 3070621 | 2 | 05/23/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michelle P Lee | 2921757 | 4 | 04/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leslie Patricia Conran McDonough | 5772899 | 3 | 04/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Anthony Reese | 4484246 | 2 | 03/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |