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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Yumang Yambao | 7224410 | 1 | 04/02/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 03/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 03/06/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 03/04/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Sung Woo | 2324482 | 1 | 02/07/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Edwin Contreras | 4664057 | 3 | 01/23/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 01/08/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Benny Ongkobudidjojo | 5668611 | 1 | 11/27/2023 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| David Pham | 2447712 | 5 | 11/21/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Teresita Dispo Del Rosario | 2551271 | 6 | 11/20/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |