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 |
|---|---|---|---|---|---|---|---|---|
| Willie Caldwell | 2097325 | 15 | 12/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tan Huy Nguyen | 2569234 | 3 | 12/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ramiro A Gomez | 6476578 | 7 | 11/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey M Wolfrey | 3276704 | 2 | 11/19/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Anthony Hansen | 6824689 | 1 | 11/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Pham | 2447712 | 5 | 11/13/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lisa K Bodden | 6043803 | 1 | 10/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan D Linder | 4625403 | 3 | 10/24/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barry Charles King | 3128658 | 9 | 10/23/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Irma Ivonne Sandoval | 5974571 | 1 | 10/10/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |