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 |
|---|---|---|---|---|---|---|---|---|
| Adrian Laertes Goram | 7575962 | 4 | 01/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Willie Caldwell | 2097325 | 15 | 01/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gevirlyn Valencia Tojoy | 4710510 | 1 | 01/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elena de Molina | 5696176 | 10 | 12/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elena de Molina | 5696176 | 10 | 12/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elena de Molina | 5696176 | 10 | 12/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elena de Molina | 5696176 | 10 | 12/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zheng Peter Yu | 4887359 | 9 | 12/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zheng Peter Yu | 4887359 | 9 | 12/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zheng Peter Yu | 4887359 | 9 | 12/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |