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 |
|---|---|---|---|---|---|---|---|---|
| Hadi Kusumo | 4719552 | 1 | 10/26/2022 | Customer Dispute | Withdrawn | $12,833.00 | $0.00 | See FINRA Report |
| John Angel Rosado | 2621630 | 3 | 12/17/2012 | Customer Dispute | Withdrawn | $70,362.20 | $0.00 | See FINRA Report |
| John C Shin | 2575864 | 5 | 08/22/2012 | Customer Dispute | Withdrawn | $69,342.50 | $0.00 | See FINRA Report |
| Patricia Dracic | 5294791 | 3 | 08/22/2012 | Customer Dispute | Withdrawn | $69,342.50 | $0.00 | See FINRA Report |
| Afsaneh Akhavan | 4767710 | 1 | 04/15/2008 | Customer Dispute | Withdrawn | $5,982.38 | $0.00 | See FINRA Report |
| Jillia N. Tjong | 4616241 | 1 | 10/18/2007 | Customer Dispute | Withdrawn | $18,381.00 | $0.00 | See FINRA Report |
| Susan Yenson Nguyen | 2269545 | 1 | 03/21/2006 | Customer Dispute | Withdrawn | $8,503.40 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 20 | 11/07/2005 | Customer Dispute | Withdrawn | $6,900.00 | $0.00 | See FINRA Report |
| Laura Luong | 2669069 | 5 | 02/27/2004 | Customer Dispute | Withdrawn | $5,506.36 | $0.00 | See FINRA Report |
| Lei Shi | 2859762 | 1 | 01/11/2002 | Customer Dispute | Withdrawn | $12,000.00 | $0.00 | See FINRA Report |