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 |
|---|---|---|---|---|---|---|---|---|
| Hau Kim Tran | 2906135 | 3 | 08/12/2024 | Customer Dispute | Pending | $479,890.00 | $0.00 | See FINRA Report |
| Abtin Bashirazami | 7526170 | 1 | 06/18/2024 | Customer Dispute | Pending | $241,667.00 | $0.00 | See FINRA Report |
| John Sung Woo | 2324482 | 1 | 02/07/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Rashid A Bokhari | 1679170 | 2 | 02/17/2023 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Franklin Ragadi Sucab | 6172106 | 3 | 03/02/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gary Leroy Pope | 6647351 | 2 | 01/26/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Lucinda D Alcott | 1658629 | 3 | 12/07/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jjean-Claude Valdez Baldivino | 6743051 | 4 | 02/28/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Elena de Molina | 5696176 | 10 | 10/26/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joe Reynaldo Martinez | 5461591 | 2 | 04/01/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |