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 |
|---|---|---|---|---|---|---|---|---|
| Edward Kent Nicolls | 4036950 | 2 | 10/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Chie Leon | 5781160 | 1 | 10/21/2014 | Customer Dispute | Denied | $9,077.87 | $0.00 | See FINRA Report |
| Ying Zhu | 4828650 | 1 | 10/21/2014 | Customer Dispute | Denied | $9,077.87 | $0.00 | See FINRA Report |
| Henry C Balanza | 4623951 | 1 | 10/10/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hanh Tuyet Luu | 2270816 | 1 | 09/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Kent Nicolls | 4036950 | 2 | 09/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Payam Homapour | 4708411 | 2 | 08/12/2014 | Customer Dispute | Denied | $21,773.90 | $0.00 | See FINRA Report |
| Claire van Niekerken Fernandez | 1390207 | 2 | 07/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Daniel Elser | 7528059 | 2 | 06/05/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryce Johnson Winkel | 2108104 | 3 | 05/19/2014 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |