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 |
|---|---|---|---|---|---|---|---|---|
| Valerie Denise Green | 4263398 | 1 | 10/08/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Victor Nelson Lee | 1157658 | 2 | 09/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alec Kwok Leung Chan | 2145816 | 2 | 09/25/2018 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Raul Julian Reyes | 6251796 | 2 | 09/21/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Joel Taylor | 5483564 | 1 | 09/14/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Neil Schiavo | 6650063 | 3 | 09/11/2018 | Customer Dispute | Denied | $7,780.62 | $0.00 | See FINRA Report |
| Fidel Anthony Castro | 6066573 | 5 | 09/11/2018 | Customer Dispute | Denied | $7,380.24 | $0.00 | See FINRA Report |
| Willie Caldwell | 2097325 | 15 | 09/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Victorino Lim Gabor | 5836503 | 1 | 08/20/2018 | Customer Dispute | Denied | $22,435.50 | $0.00 | See FINRA Report |
| Tyrone A Chaplin | 4276472 | 2 | 08/17/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |