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 |
|---|---|---|---|---|---|---|---|---|
| Barry Charles King | 3128658 | 9 | 04/20/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Diane M Larson | 3213218 | 2 | 04/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Manuel Humberto Guerra | 2585721 | 3 | 02/16/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Grace Meina Chen | 2781581 | 3 | 01/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Grace Meina Chen | 2781581 | 3 | 01/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Grace Meina Chen | 2781581 | 3 | 01/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natalie Monique Plant | 4795703 | 6 | 01/05/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natalie Monique Plant | 4795703 | 6 | 12/29/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leslie Patricia Conran McDonough | 5772899 | 3 | 12/17/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barry Charles King | 3128658 | 9 | 12/14/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |