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 |
|---|---|---|---|---|---|---|---|---|
| Manuel Humberto Guerra | 2585721 | 3 | 11/26/2013 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Jarrod Bruce Hendricks | 3106404 | 5 | 11/07/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Florencio Volante | 2995343 | 4 | 11/04/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Robert Neumann | 2250354 | 1 | 10/30/2013 | Customer Dispute | Denied | $82,000.00 | $0.00 | See FINRA Report |
| Timothy Wayne Wooten | 2868659 | 1 | 10/30/2013 | Customer Dispute | Denied | $82,000.00 | $0.00 | See FINRA Report |
| Carlos Bruner | 5637623 | 3 | 10/04/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Paul Hadowanetz | 4277622 | 7 | 10/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nazanin Meftah | 6775974 | 1 | 09/18/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rhoda Chima Emezienna | 5820531 | 2 | 09/12/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Florencio Volante | 2995343 | 4 | 09/10/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |