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 |
|---|---|---|---|---|---|---|---|---|
| Terry Elbert Wengert | 2569257 | 1 | 05/17/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Orin Lee Haworth | 2556174 | 2 | 04/15/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Frenczak | 4581697 | 4 | 03/29/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Orin Lee Haworth | 2556174 | 2 | 12/02/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jesus Gutierrez | 4744557 | 3 | 10/03/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Anne Ley | 6735295 | 1 | 01/11/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Michel Gerard Leuregans | 5183994 | 1 | 09/12/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rudy Lasry | 4530893 | 8 | 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 |
| Gary David Winter | 1533705 | 9 | 08/22/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |