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 |
|---|---|---|---|---|---|---|---|---|
| Sean M Bazewicz | 4741382 | 2 | 05/05/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank James Schoen | 3024903 | 17 | 05/04/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barry Charles King | 3128658 | 9 | 04/20/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Diane M Larson | 3213218 | 2 | 04/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Diane Bich Chau | 3006111 | 2 | 04/07/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christina N Guevara | 4581817 | 1 | 02/25/2011 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Ronald Edward Groves | 4179684 | 1 | 02/24/2011 | Customer Dispute | Denied | $6,906.61 | $0.00 | See FINRA Report |
| Matthew Wayne Heward | 2881250 | 4 | 02/18/2011 | Customer Dispute | Denied | $7,799.78 | $0.00 | See FINRA Report |
| Manuel Humberto Guerra | 2585721 | 3 | 02/16/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natalie Monique Plant | 4795703 | 6 | 01/17/2011 | Customer Dispute | Settled | $7,570.09 | $0.00 | See FINRA Report |