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 |
|---|---|---|---|---|---|---|---|---|
| Kevin James Larsen | 4186414 | 2 | 08/22/2016 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| John Michael Belanger | 4568090 | 2 | 08/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Morgana L Jones | 6992074 | 2 | 08/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amanda Knieriemen | 6810162 | 3 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Shane Jones | 7026004 | 1 | 07/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Khuong Ngoc Pham | 1885659 | 1 | 06/10/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin L Kashi | 4404557 | 1 | 06/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brooks Louis Sternberg | 4358859 | 3 | 05/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zheng Qu | 5301314 | 2 | 05/11/2016 | Customer Dispute | Settled | $98,230.50 | $0.00 | See FINRA Report |
| Robin Jay Bundy | 1201496 | 6 | 05/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |