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 |
|---|---|---|---|---|---|---|---|---|
| Michael Keith Paul | 5198124 | 2 | 06/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teodoro Marqueta Aspillera | 2051506 | 1 | 06/11/2015 | Customer Dispute | Denied | $5,036.62 | $0.00 | See FINRA Report |
| Jonathan Nguyen Tran | 5994646 | 1 | 05/19/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jesus Maymi | 2502999 | 6 | 05/18/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joshua Evan Hernandez | 4660168 | 1 | 05/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shui C Pai | 4806091 | 1 | 05/01/2015 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| William Santos | 4401954 | 4 | 04/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Santos | 4401954 | 4 | 04/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Santos | 4401954 | 4 | 04/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Santos | 4401954 | 4 | 04/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |