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 |
|---|---|---|---|---|---|---|---|---|
| Gary Leroy Pope | 6647351 | 2 | 01/26/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joseph Nathan Garcia | 7559726 | 2 | 01/25/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 01/25/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rudy Lasry | 4530893 | 6 | 01/21/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hui Yao Stacy Lu | 4527870 | 1 | 01/19/2021 | Customer Dispute | Denied | $55,077.20 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 01/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank James Schoen | 3024903 | 17 | 01/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeff Mao Hsiao | 4478088 | 3 | 12/15/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Miaomiao Chen | 7206511 | 1 | 12/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sally Anne Lee | 6090831 | 2 | 12/08/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |