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 |
|---|---|---|---|---|---|---|---|---|
| Susan Ng | 6344265 | 2 | 08/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Natalie Monique Plant | 4795703 | 6 | 08/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sabrina G Sasson | 4733768 | 1 | 08/08/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Teresita D Velasquez | 2859723 | 1 | 08/07/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hong Jie Yang | 4826556 | 1 | 07/25/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sidney Craig Sheridan | 2089034 | 4 | 07/23/2018 | Customer Dispute | Denied | $127,130.00 | $0.00 | See FINRA Report |
| Sanford Dure | 5446078 | 3 | 07/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sanford Dure | 5446078 | 3 | 07/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sanford Dure | 5446078 | 3 | 07/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alyssa Holgate | 7083619 | 4 | 07/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |