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 |
|---|---|---|---|---|---|---|---|---|
| Ha Le Truong | 4066887 | 1 | 02/03/2017 | Customer Dispute | Denied | $8,775.32 | $0.00 | See FINRA Report |
| John C Shin | 2575864 | 5 | 01/12/2017 | Customer Dispute | Settled | $19,715.00 | $0.00 | See FINRA Report |
| Emmanuel Carlo Remigio | 5995049 | 2 | 01/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Paul Hadowanetz | 4277622 | 7 | 12/21/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bradley Spencer Whittaker | 4501619 | 3 | 12/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zheng Peter Yu | 4887359 | 9 | 12/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Levitan | 2684478 | 15 | 12/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Levitan | 2684478 | 15 | 12/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Levitan | 2684478 | 15 | 11/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Beth Jensen | 4790406 | 1 | 11/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |