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 |
|---|---|---|---|---|---|---|---|---|
| Dennis P Tom | 1368134 | 5 | 02/13/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 11/28/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kim Broge Rasmussen | 4262506 | 2 | 09/11/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Meghan Chan | 3128340 | 1 | 06/26/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Bloodworth | 2381854 | 2 | 06/12/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Bloodworth | 2381854 | 2 | 12/29/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeff Scott Weitzman | 5774865 | 1 | 09/01/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 06/22/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dawn Aldithmarie Nelson | 3036708 | 2 | 05/13/2004 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dawn Aldithmarie Nelson | 3036708 | 2 | 07/31/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |