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 |
|---|---|---|---|---|---|---|---|---|
| Zheng Qu | 5301314 | 2 | 05/11/2016 | Customer Dispute | Settled | $98,230.50 | $0.00 | See FINRA Report |
| Timothy A Francis | 2381858 | 6 | 01/26/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Payam Homapour | 4708411 | 2 | 08/18/2015 | Customer Dispute | Settled | $21,773.90 | $0.00 | See FINRA Report |
| Manuel Humberto Guerra | 2585721 | 3 | 11/26/2013 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Alvin Wayne King | 5334281 | 1 | 05/01/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| John Quang Pham | 2372633 | 3 | 02/23/2012 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| John Quang Pham | 2372633 | 3 | 02/23/2012 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Kay C H Matsui | 2713670 | 1 | 07/11/2011 | Customer Dispute | Settled | $7,043.12 | $0.00 | See FINRA Report |
| Sidney Craig Sheridan | 2089034 | 4 | 05/19/2011 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Natalie Monique Plant | 4795703 | 6 | 01/17/2011 | Customer Dispute | Settled | $7,570.09 | $0.00 | See FINRA Report |