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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey John Blochowiak | 2235462 | 3 | 02/23/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marcella Marie Blochowiak | 2319151 | 5 | 02/23/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Susan Ng | 6344265 | 2 | 02/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcel Duffoo | 3233078 | 2 | 02/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Emilio Garcia | 5077462 | 6 | 01/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zhaohui Connie Chen | 4180444 | 3 | 01/18/2018 | Customer Dispute | Denied | $6,727.00 | $0.00 | See FINRA Report |
| Zhaohui Connie Chen | 4180444 | 3 | 01/18/2018 | Customer Dispute | Denied | $6,450.75 | $0.00 | See FINRA Report |
| Raul Julian Reyes | 6251796 | 2 | 01/11/2018 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Jeffrey John Blochowiak | 2235462 | 3 | 01/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marcella Marie Blochowiak | 2319151 | 5 | 01/09/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |