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 |
|---|---|---|---|---|---|---|---|---|
| John Michael Belanger | 4568090 | 2 | 06/24/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chito Mendoza Roxas | 2142054 | 1 | 06/16/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Nathan Garcia | 7559726 | 2 | 06/11/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pedro Sacbibit Magno | 6773565 | 7 | 05/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adrian Laertes Goram | 7575962 | 4 | 05/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Henry Bingham | 7283417 | 1 | 05/19/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Jay Bundy | 4750750 | 3 | 05/18/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Jay Bundy | 4750750 | 3 | 05/18/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Raymond Cecil Mitchell | 1580420 | 1 | 05/13/2021 | Customer Dispute | Denied | $60,206.80 | $0.00 | See FINRA Report |
| Jjean-Claude Valdez Baldivino | 6743051 | 4 | 04/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |