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 |
|---|---|---|---|---|---|---|---|---|
| Jjean-Claude Valdez Baldivino | 6743051 | 4 | 02/06/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ali Kourosh Hashemi-Nejad | 6642039 | 1 | 02/04/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Michael Levitan | 2684478 | 15 | 01/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rashidi Baraka Jones | 5936924 | 3 | 01/13/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ladislao Jorge Kalmar | 5151448 | 1 | 01/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Luu | 7280796 | 1 | 12/31/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lam Thanh Giang | 6282550 | 1 | 12/30/2019 | Customer Dispute | Denied | $9,705.00 | $0.00 | See FINRA Report |
| Elizabeth Sabu Pattarettu | 5276711 | 1 | 12/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Frank James Schoen | 3024903 | 17 | 12/05/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Paul Pacheco | 4485772 | 2 | 11/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |