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 |
|---|---|---|---|---|---|---|---|---|
| Gene Coppa | 5975624 | 6 | 08/08/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joshua F Littauer | 7305665 | 1 | 07/20/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joshua M Ayers | 6241551 | 5 | 07/04/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua M Ayers | 6241551 | 5 | 06/30/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua M Ayers | 6241551 | 5 | 06/28/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua M Ayers | 6241551 | 5 | 06/23/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua M Ayers | 6241551 | 5 | 06/14/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donn Untiet | 6523927 | 1 | 05/15/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ozzy Juan Payan | 7795202 | 1 | 04/29/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 04/10/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |