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 |
|---|---|---|---|---|---|---|---|---|
| Deron Keith Ferrell | 1187246 | 1 | 09/06/2006 | Customer Dispute | Settled | $27,134.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 05/05/2006 | Customer Dispute | Settled | $5,180.00 | $0.00 | See FINRA Report |
| Carl David Kennedy | 1162865 | 4 | 08/15/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carl David Kennedy | 1162865 | 4 | 08/15/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carl David Kennedy | 1162865 | 4 | 08/15/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan S Yu | 4573681 | 1 | 06/17/2005 | Customer Dispute | Settled | $11,700.00 | $0.00 | See FINRA Report |
| Troy R Spencer | 2161650 | 1 | 09/22/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Tracy Tsuey Jyu Chiang | 2768539 | 1 | 09/21/2004 | Customer Dispute | Settled | $6,377.00 | $0.00 | See FINRA Report |
| Michael Shawn McCormack | 4055624 | 3 | 09/21/2004 | Customer Dispute | Settled | $5,600.00 | $0.00 | See FINRA Report |
| Melvin Harold Bell | 2528418 | 1 | 08/11/2004 | Customer Dispute | Settled | $336,025.00 | $0.00 | See FINRA Report |