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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Jay Bundy | 4750750 | 3 | 05/18/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Jay Bundy | 4750750 | 3 | 05/18/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 01/25/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 01/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeff Mao Hsiao | 4478088 | 3 | 12/15/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sally Anne Lee | 6090831 | 2 | 12/08/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Paul Hadowanetz | 4277622 | 7 | 10/27/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert B Forney | 5102537 | 6 | 09/28/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laura Patricia Ferro | 6749136 | 3 | 08/04/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gilbert Yzaguirre | 2553963 | 1 | 06/04/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |