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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Neil Jones | 4500629 | 6 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Palmeri | 5262802 | 3 | 10/10/2017 | Customer Dispute | Denied | $65,848.70 | $0.00 | See FINRA Report |
| Andranik Ghazarian | 6644143 | 1 | 10/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Yeung | 5185769 | 1 | 09/20/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Youwei Liu | 6937347 | 2 | 09/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Leo Mann | 2743096 | 1 | 08/24/2017 | Customer Dispute | Closed-No Action | $12,304.90 | $0.00 | See FINRA Report |
| Elena de Molina | 5696176 | 10 | 08/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis P Tom | 1368134 | 5 | 08/22/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Beverly Fecundo | 4579083 | 2 | 08/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leslie Efrem Hardley | 2632321 | 3 | 08/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |