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 |
|---|---|---|---|---|---|---|---|---|
| Mark Alan Gaylord | 869950 | 6 | 04/28/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Quentin McGowan | 4753698 | 2 | 04/26/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Bradley Tamminga | 4992187 | 1 | 04/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Paladio Cordero | 2209950 | 3 | 04/15/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Javier Rojas Galicia | 6001698 | 3 | 04/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Roldan | 3147257 | 1 | 04/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hanna Liza Horenstein | 4244493 | 1 | 03/23/2016 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Youwei Liu | 6937347 | 2 | 03/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chester E Palid | 5708649 | 1 | 03/09/2016 | Customer Dispute | Denied | $51,261.80 | $0.00 | See FINRA Report |
| Pedro Sacbibit Magno | 6773565 | 7 | 02/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |