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 |
|---|---|---|---|---|---|---|---|---|
| Racquel Roxann Ramlal-Slawinski | 3165650 | 2 | 05/31/2019 | Customer Dispute | Denied | $6,580.66 | $0.00 | See FINRA Report |
| Sarah Frenczak | 4581697 | 3 | 05/22/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frederick Douglas Williams | 5841491 | 5 | 05/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Thomas Smelich | 2561139 | 1 | 05/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brooks Louis Sternberg | 4358859 | 3 | 05/17/2019 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Oralia Navar-Perales | 3193390 | 3 | 05/16/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Emilio Garcia | 5077462 | 6 | 04/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 04/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lilibeth S Delacruz | 4731033 | 2 | 03/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Elena de Molina | 5696176 | 10 | 03/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |