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 |
|---|---|---|---|---|---|---|---|---|
| Brian Michael Taylor | 3170103 | 3 | 06/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sara Blatt Collins | 2921061 | 4 | 05/05/2020 | Customer Dispute | Denied | $42,839.00 | $0.00 | See FINRA Report |
| Sandra Frierson | 5091966 | 3 | 04/30/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emelia Addo Marfo-Sarbeng | 6878004 | 1 | 04/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Anthony Reese | 4484246 | 2 | 04/03/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Xin Xu | 6415679 | 1 | 04/03/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Nathan Shorack | 4141207 | 2 | 03/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anna Rinos | 7562926 | 4 | 03/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Levitan | 2684478 | 15 | 03/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Levitan | 2684478 | 15 | 03/05/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |