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 |
|---|---|---|---|---|---|---|---|---|
| Bobby Ray Thompson | 2944161 | 1 | 08/26/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Payne | 6291622 | 1 | 08/16/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Xiaoli Cheryl Cheng | 5733767 | 2 | 06/13/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jarrod Bruce Hendricks | 3106404 | 5 | 06/07/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Quy Kim Hoang | 3119517 | 1 | 06/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Manuel Humberto Guerra | 2585721 | 3 | 05/16/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natalie Monique Plant | 4795703 | 6 | 05/16/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 05/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alvin Wayne King | 5334281 | 1 | 05/01/2013 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Xiaoli Cheryl Cheng | 5733767 | 2 | 05/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |