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 |
|---|---|---|---|---|---|---|---|---|
| Lydia Camello Legaspi | 2681580 | 3 | 09/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jesus Maymi | 2502999 | 6 | 09/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andy Weng | 2869711 | 5 | 09/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 09/12/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 09/12/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Teresita D Dunuan | 3070621 | 2 | 09/05/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Qiu Xia Ni | 4721831 | 1 | 08/14/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rashid A Bokhari | 1679170 | 2 | 08/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sidney Craig Sheridan | 2089034 | 4 | 06/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lydia Camello Legaspi | 2681580 | 3 | 06/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |