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 |
|---|---|---|---|---|---|---|---|---|
| Mark Alan Gaylord | 869950 | 6 | 04/18/2004 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| James Gilbert Mardock | 2250368 | 2 | 04/15/2004 | Customer Dispute | Settled | $43,396.00 | $0.00 | See FINRA Report |
| Cong Tien Duong | 2902675 | 1 | 10/09/2003 | Customer Dispute | Settled | $6,772.29 | $0.00 | See FINRA Report |
| Eric Todd Harris | 2256085 | 1 | 06/16/2003 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Oralia Navar-Perales | 3193390 | 3 | 03/03/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew David Wellner | 2425852 | 2 | 09/03/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy A Francis | 2381858 | 6 | 07/10/2002 | Customer Dispute | Settled | $31,320.00 | $0.00 | See FINRA Report |
| Thomas Donald Hanson | 2742123 | 1 | 05/13/2002 | Customer Dispute | Settled | $52,422.00 | $0.00 | See FINRA Report |
| James M Jones | 3241114 | 1 | 05/13/2002 | Customer Dispute | Settled | $52,422.00 | $0.00 | See FINRA Report |
| Tan Huy Nguyen | 2569234 | 3 | 11/19/2001 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |