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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Pitpitan Bugay | 6283402 | 1 | 04/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Gonzalez | 7254624 | 1 | 04/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Min Choe | 5557881 | 1 | 04/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hong Tan Nguyen | 4246199 | 1 | 04/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joe Reynaldo Martinez | 5461591 | 2 | 04/01/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Attila Zsigmond | 4177498 | 3 | 03/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick James McArdle | 2550609 | 1 | 03/23/2015 | Customer Dispute | Denied | $16,296.00 | $0.00 | See FINRA Report |
| Pedro Sacbibit Magno | 6773565 | 7 | 03/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vicki H Stamps | 4603017 | 2 | 03/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brooks Louis Sternberg | 4358859 | 3 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |