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 |
|---|---|---|---|---|---|---|---|---|
| Rhoda Chima Emezienna | 5820531 | 2 | 02/23/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Paul Hadowanetz | 4277622 | 7 | 02/18/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark William Redman | 1026426 | 2 | 02/16/2016 | Customer Dispute | Denied | $6,068.03 | $0.00 | See FINRA Report |
| Zheng Qu | 5301314 | 2 | 02/15/2016 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Qi Dong | 6769793 | 1 | 01/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy A Francis | 2381858 | 6 | 01/26/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sandra Frierson | 5091966 | 3 | 01/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yvonne Yifan Chan | 4388349 | 1 | 01/07/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Jeffrey Hagen | 4439209 | 2 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 12/31/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |