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 Levitan | 2684478 | 15 | 03/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eugene Francis Cerf | 4370121 | 1 | 03/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Fidel Anthony Castro | 6066573 | 5 | 03/03/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jjean-Claude Valdez Baldivino | 6743051 | 4 | 02/28/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Anna Rinos | 7562926 | 4 | 02/25/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clarissia Novell Skinner | 7350519 | 4 | 02/21/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lucinda D Alcott | 1658629 | 3 | 02/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anna Rinos | 7562926 | 4 | 02/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyrone A Chaplin | 4276472 | 2 | 02/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Levitan | 2684478 | 15 | 02/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |