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 |
|---|---|---|---|---|---|---|---|---|
| Marcel Duffoo | 3233078 | 2 | 06/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sarah Frenczak | 4581697 | 3 | 05/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Oralia Navar-Perales | 3193390 | 3 | 05/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 04/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lilibeth S Delacruz | 4731033 | 2 | 03/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Kwasi Amegashie | 6856350 | 2 | 02/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert B Forney | 5102537 | 6 | 01/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daletha S McRae | 4260589 | 1 | 01/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Willie Caldwell | 2097325 | 15 | 12/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey M Wolfrey | 3276704 | 2 | 11/19/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |