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 |
|---|---|---|---|---|---|---|---|---|
| Grace Meina Chen | 2781581 | 3 | 01/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Grace Meina Chen | 2781581 | 3 | 01/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Grace Meina Chen | 2781581 | 3 | 01/14/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natalie Monique Plant | 4795703 | 6 | 01/05/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natalie Monique Plant | 4795703 | 6 | 12/29/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Leslie Patricia Conran McDonough | 5772899 | 3 | 12/17/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barry Charles King | 3128658 | 9 | 12/14/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard William Holmes | 2600573 | 1 | 12/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Teresita Dispo Del Rosario | 2551271 | 6 | 10/04/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hsuan-Hui S Yu | 4713723 | 1 | 09/28/2010 | Customer Dispute | Denied | $5,741.10 | $0.00 | See FINRA Report |