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 |
|---|---|---|---|---|---|---|---|---|
| Eugene Francis Cerf | 4370121 | 1 | 03/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Fidel Anthony Castro | 6066573 | 5 | 03/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clarissia Novell Skinner | 7350519 | 4 | 02/21/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jjean-Claude Valdez Baldivino | 6743051 | 4 | 02/06/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ali Kourosh Hashemi-Nejad | 6642039 | 1 | 02/04/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rashidi Baraka Jones | 5936924 | 3 | 01/13/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank James Schoen | 3024903 | 17 | 12/05/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joe Reynaldo Martinez | 5461591 | 2 | 11/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Arthur Vanis | 5059434 | 1 | 10/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lilibeth S Delacruz | 4731033 | 2 | 10/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |