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 |
|---|---|---|---|---|---|---|---|---|
| Nichole L Dorch-Cannon | 4369874 | 1 | 12/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Jalil | 3262293 | 1 | 12/14/2015 | Customer Dispute | Denied | $42,364.50 | $0.00 | See FINRA Report |
| Justin Carras | 5768886 | 1 | 11/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Javier Rojas Galicia | 6001698 | 3 | 11/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Javier Rojas Galicia | 6001698 | 3 | 11/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donna F Burke | 5524446 | 5 | 11/05/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Anthony Nash | 5410794 | 6 | 11/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc David Guerra | 1230885 | 3 | 11/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anne M Cruz | 5926379 | 1 | 11/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evangelina B Parambita Milner | 6242296 | 8 | 10/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |