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 |
|---|---|---|---|---|---|---|---|---|
| Daniel J Charlier | 3104464 | 25 | 09/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chung Ming Lee | 2958149 | 2 | 08/31/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tessa Conwell | 4820245 | 1 | 08/11/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Willie Caldwell | 2097325 | 15 | 08/09/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natalie Monique Plant | 4795703 | 6 | 08/09/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Fei Yun Chen | 3275414 | 1 | 07/22/2010 | Customer Dispute | Denied | $6,394.11 | $0.00 | See FINRA Report |
| Leslie Patricia Conran McDonough | 5772899 | 3 | 06/29/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barry Charles King | 3128658 | 9 | 06/21/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frederick Douglas Williams | 5841491 | 5 | 06/17/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Xi Yan Ruan | 4504930 | 1 | 06/01/2010 | Customer Dispute | Denied | $32,186.00 | $0.00 | See FINRA Report |