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 |
|---|---|---|---|---|---|---|---|---|
| Lucinda D Alcott | 1658629 | 3 | 12/07/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Lu Ling Li | 4997371 | 1 | 12/04/2020 | Customer Dispute | Settled | $54,500.00 | $0.00 | See FINRA Report |
| Elena de Molina | 5696176 | 10 | 11/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Franklin Ragadi Sucab | 6172106 | 3 | 11/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Paul Hadowanetz | 4277622 | 7 | 10/27/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Feng Luo | 5508192 | 1 | 10/23/2020 | Customer Dispute | Settled | $472,800.00 | $0.00 | See FINRA Report |
| Ramiro A Gomez | 6476578 | 7 | 10/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Frierson | 5091966 | 3 | 10/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert B Forney | 5102537 | 6 | 09/28/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Pedro Sacbibit Magno | 6773565 | 7 | 09/16/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |