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 |
|---|---|---|---|---|---|---|---|---|
| Jay Row Thompson | 5585377 | 3 | 10/31/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gary Leonard Ziegler | 2492826 | 2 | 10/18/2022 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| Franklin Ragadi Sucab | 6172106 | 3 | 03/02/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Eric M Jenson | 2873787 | 4 | 11/30/2021 | Customer Dispute | Pending | $9,601.44 | $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 |
| Irma M Oke | 4973471 | 3 | 04/27/2020 | 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 |
| Frederick Douglas Williams | 5841491 | 5 | 05/21/2019 | 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 |