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 |
|---|---|---|---|---|---|---|---|---|
| Carol Tafoya-Pimentel | 5134769 | 1 | 11/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joe Reynaldo Martinez | 5461591 | 2 | 11/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ramiro A Gomez | 6476578 | 7 | 11/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramiro A Gomez | 6476578 | 7 | 11/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramiro A Gomez | 6476578 | 7 | 11/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Leroy Pope | 6647351 | 2 | 11/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Levitan | 2684478 | 15 | 10/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen I-Ching Yang | 4595121 | 1 | 10/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ma Ricca Cuenca | 7884403 | 1 | 10/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anna Rinos | 7562926 | 4 | 10/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |