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 |
|---|---|---|---|---|---|---|---|---|
| Youngky Hermanto | 7354424 | 1 | 10/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis P Tom | 1368134 | 5 | 09/30/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clarence R Morson | 1766731 | 1 | 09/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carlos Bruner | 5637623 | 3 | 09/15/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Anthony Nash | 5410794 | 6 | 09/08/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Anthony Nash | 5410794 | 6 | 09/08/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evangelina B Parambita Milner | 6242296 | 8 | 09/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew B Luckey | 4207598 | 1 | 09/01/2015 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Evangelina B Parambita Milner | 6242296 | 8 | 08/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Tin Chee Wong | 7428158 | 3 | 08/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |