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 |
|---|---|---|---|---|---|---|---|---|
| Julie Ann Johnson | 3055188 | 1 | 07/28/2022 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Richard Scott Hilton | 5874845 | 2 | 07/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kris Lavar Stevenson | 3035247 | 2 | 07/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kris Lavar Stevenson | 3035247 | 2 | 07/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lawrence W Raleigh | 3165645 | 5 | 07/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Anthony Nash | 5410794 | 7 | 06/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lunar Balanza | 6085205 | 1 | 06/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Dean Sorensen | 2207121 | 2 | 06/27/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Phillip Bising Lin | 2745446 | 2 | 06/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robin Lynn Corley | 4862044 | 1 | 06/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |