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 |
|---|---|---|---|---|---|---|---|---|
| Shawn Paris Patrick | 1419385 | 3 | 01/04/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rudy Lasry | 4530893 | 8 | 01/21/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Yuemei Ding | 5421937 | 1 | 07/24/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Norman Berry Taylor | 7249720 | 2 | 01/09/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hong Jie Yang | 4826556 | 1 | 07/25/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ramon Limjoco Cunamay | 2592616 | 1 | 12/22/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Victor Hugo Espino | 6095579 | 2 | 05/27/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Payne | 6291622 | 1 | 08/16/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jesus Gutierrez | 4744557 | 3 | 05/20/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Angel H Romo | 4786040 | 4 | 05/19/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |