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 |
|---|---|---|---|---|---|---|---|---|
| Christian Antonio Rivera Lopez | 6413773 | 2 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christian Antonio Rivera Lopez | 6413773 | 2 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shahnaz Mokhtari | 4270263 | 2 | 03/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Xuli Zong | 4439738 | 1 | 03/22/2017 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Clarissia Novell Skinner | 7350519 | 4 | 03/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Anthony Reese | 4484246 | 2 | 03/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clarissia Novell Skinner | 7350519 | 4 | 03/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clarissia Novell Skinner | 7350519 | 4 | 03/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Spencer Whittaker | 4501619 | 3 | 02/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sarah Frenczak | 4581697 | 3 | 02/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |