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 |
|---|---|---|---|---|---|---|---|---|
| Rashid A Bokhari | 1679170 | 2 | 08/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sairy Alejandra Hawley | 5740669 | 3 | 07/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sairy Alejandra Hawley | 5740669 | 3 | 07/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sairy Alejandra Hawley | 5740669 | 3 | 07/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ana Liza Maningas | 7585042 | 1 | 07/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Anthony Nash | 5410794 | 6 | 07/03/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sidney Craig Sheridan | 2089034 | 4 | 06/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lydia Camello Legaspi | 2681580 | 3 | 06/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marcel Duffoo | 3233078 | 2 | 06/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Arvin Aledia | 7701921 | 1 | 06/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |