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 |
|---|---|---|---|---|---|---|---|---|
| Rong Fu | 5576436 | 1 | 03/22/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jessica Kobrin | 5841290 | 1 | 03/06/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 03/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Maitland Kingsley | 1744429 | 1 | 01/09/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Coute | 5711259 | 1 | 12/12/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leslie Efrem Hardley | 2632321 | 3 | 10/10/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lee-Yin Liu | 4678947 | 1 | 09/19/2012 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Bryan Lee | 2704519 | 1 | 09/13/2012 | Customer Dispute | Denied | $15,131.80 | $0.00 | See FINRA Report |
| Jarrod Bruce Hendricks | 3106404 | 5 | 09/11/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Joseph Scinto | 1922240 | 5 | 08/31/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |