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 |
|---|---|---|---|---|---|---|---|---|
| Brian Neil Schiavo | 6650063 | 3 | 03/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edna Balido Reyes | 6150775 | 1 | 02/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Kwasi Amegashie | 6856350 | 2 | 02/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Kwasi Amegashie | 6856350 | 2 | 02/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lucy Rojo | 7686565 | 1 | 01/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert B Forney | 5102537 | 6 | 01/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Enrique Daniel Yuan Huang | 6576877 | 1 | 01/24/2019 | Customer Dispute | Denied | $57,482.50 | $0.00 | See FINRA Report |
| Alyssa Holgate | 7083619 | 4 | 01/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Clement Lyle | 2418644 | 5 | 01/15/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Daletha S McRae | 4260589 | 1 | 01/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |