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 |
|---|---|---|---|---|---|---|---|---|
| Rudy Lasry | 4530893 | 6 | 03/17/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lucinda D Alcott | 1658629 | 3 | 02/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rudy Lasry | 4530893 | 6 | 09/07/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryce Johnson Winkel | 2108104 | 3 | 06/05/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Charles Koenning | 1599307 | 3 | 09/24/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Douglas Williams | 5841491 | 5 | 12/28/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Drew Chris Labarbera | 1255994 | 2 | 03/16/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |